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Doctoral Thesis
DOI
https://doi.org/10.11606/T.2.2017.tde-26022021-170453
Document
Author
Full name
Guilherme Setoguti Julio Pereira
Institute/School/College
Knowledge Area
Date of Defense
Published
São Paulo, 2017
Supervisor
Committee
Yarshell, Flávio Luiz (President)
Grinover, Ada Pellegrini
Lucon, Paulo Henrique dos Santos
Prado, Viviane Muller
Yazbek, Otavio
Title in Portuguese
A efetividade do modelo brasileiro de cumprimento forçado de normas civis no mercado de valores mobiliários
Keywords in Portuguese
Arbitragem -- Brasil
Indenização -- Brasil
Mercado de capitais -- Brasil
Processo civil -- Brasil
Abstract in Portuguese
Esta tese propôs-se a estudar, por meio de uma abordagem crítica e multidisciplinar, o modelo brasileiro de cumprimento forçado (enforcement) de normas civis no âmbito do mercado de capitais, especialmente no que diz respeito aos seus mecanismos indenizatórios. O trabalho partiu do diagnóstico de que o referido sistema é inefetivo, para, firmada essa premissa, sustentar que esse estado de coisas se deve, em alguma medida, a deficiências da legislação processual civil. A fim de superar essa situação, o trabalho defende o argumento de que, para além de soluções interpretativas da legislação vigente e de modificações dessa mesma legislação (sugestões também feitas ao longo da pesquisa), é possível uma saída contratual, a fim de que companhias, acionistas e investidores possam, valendo-se da cláusula geral de convenção processual (Código de Processo Civil, art. 190), suprir boa parte desses gargalos processuais. A tese, assim, propõe o emprego dessa regra como ferramenta de superação dos problemas de enforcement no mercado de capitais brasileiro, e sugere, sem pretensão de exaustão, algumas situações concretas em que pode se dar tal aplicação.
Title in English
The effectiveness of the Brazilian model of enforcement of civil rules in the securities markets
Keywords in English
Arbitration
Capital markets
Collective redress
Enforcement
Procedural contracts
Self-regulation
Abstract in English
The purpose of this thesis is to study, through a critical and multidisciplinary approach, the Brazilian model of enforcement of civil rules in the capital markets, especially its indemnification mechanisms. The starting point of the study is the diagnosis of ineffectiveness of this Brazilian model and, once this premise is established, this study purports to show that this state of affairs is the result of, to some extent, deficiencies in civil procedural law. In order to overcome this situation, this study advances the argument that, in addition to solutions based on the interpretation of and amendments to the applicable law (which are also suggested throughout the research), it is possible to find a contractual solution, enabling companies, shareholders and investors to deploy the general provision of procedural convention (Brazilian Code of Civil Procedure, Article 190), eliminating most of these procedural bottlenecks. Accordingly, this thesis proposes the application of this rule as a tool to overcome enforcement issues in the Brazilian capital markets, suggesting, on a non-exhaustive basis, some concrete cases in which this rule can be applied.
 
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Release Date
2023-02-26
Publishing Date
2021-05-04
 
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