CVM Altera Instrução nº 301 Para Cumprimento De Sanções Impostas Por Resoluções Do Conselho De Segurança Da Onu
A Comissão de Valores Mobiliários (CVM) publicou o Ofício-Circular nº 3/2019 - CVM/SMI/SIN no dia 04/06/2019 (Ofício), alterando a aplicação da Instrução CVM nº 301, de 16 de abril de 1999.
O texto foi alterado em razão da Lei nº 13.810, promulgada em 08 de março de 2019 e com vigência a partir de 06 de junho de 2019, a qual também foi regulamentada no âmbito do Poder Executivo Federal por meio do Decreto nº 9.825, de 05 de junho de 2019, acerca dos procedimentos relacionados ao cumprimento de sanções financeiras impostas por resoluções do Conselho de Segurança das Nações Unidas (CSNU).
A orientação do Ofício aplica-se em especial às pessoas obrigadas do artigo 2º da Instrução CVM nº 301, quais sejam: (i) pessoas que atuem com a custódia, emissão, distribuição, liquidação, negociação, intermediação, consultoria ou administração de títulos ou valores mobiliários e a auditoria independente no âmbito do mercado de valores mobiliários; (ii) entidades administradoras de mercados organizados; e (iii) demais pessoas referidas no art. 9º da Lei nº 9.613, de 1998, que se encontrem sob disciplina e fiscalização exercidas pela CVM (Pessoas Obrigadas).
Com intuito de se adequar à Lei nº 13.810, as Pessoas Obrigadas deverão, imediatamente e sem aviso prévio, cumprir as medidas estabelecidas nas resoluções sancionatórias do Conselho de Segurança das Nações Unidas (CSNU) sobre a indisponibilidade de ativos de titularidade, direta ou indireta, de pessoas naturais, pessoas jurídicas ou de entidades e sobre a designação nacional de pessoas investigadas ou acusadas de terrorismo, de seu financiamento ou...
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