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Doctoral Thesis
DOI
https://doi.org/10.11606/T.2.2017.tde-15032021-232807
Document
Author
Full name
Marcelo Costenaro Cavali
Institute/School/College
Knowledge Area
Date of Defense
Published
São Paulo, 2017
Supervisor
Committee
Greco Filho, Vicente (President)
Estellita, Heloisa
Paschoal, Janaina Conceição
Prado, Viviane Muller
Vercosa, Haroldo Malheiros Duclerc
Title in Portuguese
Fundamento e limites da repressão penal da manipulação do mercado de capitais: uma análise a partir do bem jurídico da capacidade funcional alocativa do mercado
Keywords in Portuguese
Bem jurídico
Crime econômico
Direito Administrativo
Direito Penal Econômico
Mercado de capitais
Abstract in Portuguese
A presente tese é dedicada ao estudo dos fundamentos e dos limites da criminalização da manipulação de mercado no direito brasileiro. Após uma defesa da persistência da teoria do bem jurídico como mais eficiente mecanismo crítico de limitação da intervenção penal, incursiona-se na regulação do mercado de capitais, a fim de perquirir acerca do bem jurídico passível de proteção contra condutas manipuladoras. Identificada a capacidade funcional alocativa do mercado, mais especificamente seu pressuposto fundamental consistente no processo de livre formação de preços dos valores mobiliários, como bem jurídico passível de tutela penal, examina-se a conformidade constitucional do tipo penal previsto no artigo 27-C da Lei nº 6.385/1976. Promove-se, a seguir, a interpretação da regra penal incriminadora à luz das premissas firmadas. Finalmente, são sugeridas propostas para adequar o tipo penal aos princípios constitucionais e aumentar a eficiência do combate à manipulação do mercado.
Title in English
Fundamentals and limits of the criminalization of capital markets manipulation: an analysis based on the allocative eficiency of the market as protected legal good
Keywords in English
Capital markets
Market manipulation
White colar crimes
Abstract in English
The thesis is dedicated to the study of the fundamentals and limits of the criminalization of market manipulation in Brazilian law. After a vindication of the persistence of the theory of legal goods as the most efficient critical mechanism of limitation of criminal intervention, the capital markets regulation is examinated in order to inquire about the legal good that can be protected against manipulative conduct. Once identified the allocative eficiency of the market, more specifically its requirement of free price formation of securities, as a legal good subject to criminal protection, the work examines the constitutionality of the criminal offense established in Article 27- C of the Law nº 6.385/1976. The interpretation of the criminal offense is then promoted in the light of the premises asserted. Finally, proposals are made to adapt the criminal offense to the constitutional principles and to increase the efficiency of the fight against market manipulation.
 
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8875964_Tese_Parcial.pdf (813.39 Kbytes)
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Release Date
2023-03-15
Publishing Date
2021-06-14
 
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