{"editorial":{"content_id":"d575a65f-cd86-45f3-8d48-fbef193dff52","slug":"cvm-fbs-markets-mitsui-markets-20261113-535b1c","content_type":"news","title":"巴西CVM审判多起行政诉讼，FBS Markets与Mitsui Markets合计被罚370万雷亚尔","summary":"巴西证券交易委员会（CVM）在2026年11月3日的审判会议上审理多起行政诉讼，其中对FBS Markets Inc.和Mitsui Markets Limited处以合计370万雷亚尔罚款。","body":"巴西证券交易委员会（CVM）于2026年11月3日举行行政处罚审判会议，审理多项行政诉讼程序（PAS），并对FBS Markets Inc.和Mitsui Markets Limited处以总额370万雷亚尔的罚款。\n\n会议还审理了其他案件。在PAS CVM 19957.011239/2025-09中，CVM合议庭一致裁定对Evandro Luiz de Sousa Jackson予以处罚；该案由市场与中介关系监管局（SMI）立案，调查涉嫌欺诈交易及违规从事证券组合管理活动。\n\n在PAS CVM 19957.012863/2025-15中，合议庭一致裁定处罚被指控方；该案同样由SMI立案，调查在未获CVM必要授权的情况下在巴西证券市场从事中介活动，以及未按规定注册或获得豁免即进行证券公开发行，可能违反第6.385号法律第16条和第19条。\n\n在PAS CVM 19957.017563/2025-22中，合议庭以多数票裁定处罚CBSF Distribuidora de Títulos e Valores Mobiliários Ltda.（原Reag Trust Distribuidora de Títulos e Valores Mobiliários S.A.，现处于庭外清算）及其时任证券组合管理负责人Ramon Pessoa Dantas；该案由机构投资者监管局（SIN）立案，调查可能违反CVM第21号决议第22条的行为。董事João Accioly在表决中同意对CBSF的结论，但对Dantas主张无罪；主席Otto Lobo和董事Marina Copola完全跟随主审董事Igor Muniz的投票。\n\n在PAS CVM 19957.021543/2024-75中，合议庭一致裁定处罚被指控方；该案由SIN立案，调查涉嫌未经CVM事先授权从事证券组合专业管理活动，可能违反第6.385号法律第23条及CVM第21号决议第2条。\n\nCVM表示，被处罚方可向国家金融系统资源委员会提出具有中止效力的上诉。\n\n此外，PAS CVM 19957.000724/2025-49由机构投资者监管局（SIN）立案，调查涉嫌在证券市场实施欺诈操作（违反CVM第08号指令第I项及第II项“c”目）以及违反忠诚与勤勉义务（违反CVM第555号指令第92条第I项及CVM第558号指令第16条第I项）。主审董事Marina Copola投票后，董事João Accioly提出查看请求，会议暂停；主席Otto Lobo和董事Igor Muniz将待复会后提交投票。","why_it_matters":null,"cbi_observation":null,"direction_tag":"巴西","primary_category":"金融监管","secondary_topics":["金融","合规","法律"],"content_level":"编辑整理","event_type":"金融监管","audience_tags":[],"event_location":null,"verification_status":"source_verified","published_at":"2026-11-13T11:07:52.531Z","display_date":"2026-11-13","source_published_at":null,"source_url":"https://www.gov.br/cvm/pt-br/assuntos/noticias/2026/cvm-aplica-multa-no-valor-total-de-r-3-7-milhoes-a-fbs-markets-inc-e-mitsui-markets-limited","source_name":"CVM","source_language":"pt","author_name":"编辑部","risk_level":"low","risk_flags":[],"opportunity_flags":[],"trend_signals":[]},"intelligence":null,"meta":{"canonical_url":"https://chinabrazilinsight.com/news/cvm-fbs-markets-mitsui-markets-20261113-535b1c","api_url":"https://chinabrazilinsight.com/api/public/content/cvm-fbs-markets-mitsui-markets-20261113-535b1c","markdown_url":"https://chinabrazilinsight.com/api/public/content/cvm-fbs-markets-mitsui-markets-20261113-535b1c?view=markdown","json_url":"https://chinabrazilinsight.com/api/public/content/cvm-fbs-markets-mitsui-markets-20261113-535b1c?view=json","last_updated":"2026-11-13T11:08:14.981Z","platform":"China Brazil Insight","platform_url":"https://chinabrazilinsight.com"}}