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Previous issue date: 2017-09-29 / O presente trabalho traz uma an?lise dos fundos de investimento e da possibilidade
de incid?ncia das normas de prote??o ao consumidor sobre a rela??o entre o quotista
e o administrador do fundo. A abordagem inicial parte das no??es de Constitui??o
Econ?mica e de Ordem Econ?mica Constitucional para posicionar esta ?ltima como
integrante do sistema jur?dico-constitucional. O texto constitucional de 1988 delineia o
perfil do chamado Estado Regulador pela redu??o do papel de atua??o direta deste
na atividade econ?mica e pela centralidade da no??o de regula??o. A estrutura??o do
mercado de capitais, dentro desse panorama jur?dico-econ?mico, vincula os agentes
do mercado ao cumprimento dos preceitos nele contidos. Ademais, condiciona a
pr?pria atua??o estatal a regular o mercado, pela ordena??o do ambiente de neg?cios,
de forma a preservar os direitos fundamentais e a perseguir os valores eleitos pela
constitui??o. A prote??o ao consumidor consiste em um desses valores. Com isso,
torna-se poss?vel harmonizar a exist?ncia do mercado com a satisfa??o dos princ?pios
de justi?a social e solidariedade contidos na norma constitucional. Na sequ?ncia, a
apresenta??o de breve hist?rico dos fundos de investimento e a discuss?o sobre a
natureza jur?dica destes apontam para a natureza condominial dos fundos de
investimento no direito brasileiro, ainda que as normas relativas ao condom?nio
contidas no C?digo Civil Brasileiro n?o sejam suficientes para explicar e regular
adequadamente o instituto. Os fundos de investimento est?o inseridos dentro do
Sistema Financeiro Nacional. A caracteriza??o deste, conforme a Constitui??o de
1988, indica que, embora n?o tenha havido altera??o do desenho institucional, h?
nova significa??o do sistema e de seus objetivos. Nesse contexto, a Comiss?o de
Valores Mobili?rios exerce aut?ntica regula??o sobre o mercado e delimita
parcialmente a rela??o entre quotistas e administrador nos fundos com objetivo de
conserva??o e maximiza??o de efici?ncia do sistema financeiro. A prote??o ao
consumidor ? outra fonte normativa a condicionar a rela??o jur?dica entre quotista a
administrador do fundo, existindo a possibilidade de aplica??o do C?digo de Defesa
do Consumidor (CDC) ? rela??o entre o quotista e o administrador, desde que o
primeiro atenda aos requisitos para a caracteriza??o como consumidor. ? poss?vel a
exist?ncia do di?logo entre as fontes normativas do Sistema Financeiro Nacional e do
C?digo de Defesa do Consumidor. Da incid?ncia da norma consumerista, tra?am-se
os contornos dos deveres e da responsabilidade do administrador do fundo de
investimento perante o quotista, quais sejam: dever de probidade; dever de
informa??o e a responsabilidade objetiva do administrador. A metodologia utilizada na
pesquisa consistiu na revis?o da bibliografia especializada sobre o tema, bem como
da an?lise dos instrumentos normativos, tanto constitucionais quanto
infraconstitucionais, e de precedentes judiciais de Tribunais Superiores sobre o
assunto. / This work analyses the investment trusts and the possibility of incidence of consumer
protection rules on the relationship between the settlor and trustee. Initial approach
starts from the concepts of Economic Constitution and Constitutional Economic Order
to position the latter as part of the constitutional system. Brazilian Constitution outlines
the profile of the so-called Regulatory State by reducing its direct role in economic
activity and by the centrality of the notion of regulation. Within this scenario, market
agents must fulfill the constitutional precepts that support the capital market. In
addition, state action to regulate the market, by ordering the business environment, is
done in order to preserve fundamental rights and to pursue the values elected by the
Brazilian constitution. Consumer protection consists in one of these values. So it
becomes possible to harmonize the existence of the market with the satisfaction of the
principles of social justice and solidarity contained in the constitutional norm.
Subsequently, the brief presentation of investment trusts and the discussion on its legal
nature point to the condominium nature in Brazilian law, even though the rules
regarding the condominium contained in the Brazilian Civil Code are not sufficient to
explain and properly regulate the institute. The investment trusts are part of the
Brazilian National Financial System. Brazilian Constitution defined both new
significance and new objectives to the system, although there has been no change in
institutional design. In this context, with the objective of preserving and maximizing the
efficiency of the financial system, the Brazilian Securities and Exchange Commission
exercises real market regulation and partially delimits the relationship between settlor
and trustee in the trusts. Consumer protection is another normative source applicable
to the legal relationship between settlor and trustee. This work recognizes the
possibility of applying the Consumer Protection Law to the relationship between settlor
and trustee, provided that first meets the requirements to be characterized as a
consumer in Brazilian consumer regulation. The existence of a dialogue between the
normative sources of the Brazilian Financial System and Consumer Protection is
admitted. Following the incidence of consumer protection, text aims to outline the
duties and responsibility of the trustee according to consumer protection rules: duty of
loyalty, duty of information and the objective responsibility of the trustee. Research
method consisted in the review of the scientific literature regarding the investment
trusts and the analysis of Brazilian constitutional and federal regulations as well. Court
precedents related to the subject are also brought the discussion.
| Identifer | oai:union.ndltd.org:IBICT/oai:repositorio.ufrn.br:123456789/24450 |
| Date | 29 September 2017 |
| Creators | Leite, Carlos Alexandre Corr?a |
| Contributors | 20062702491, Elali, Andr? de Souza Dantas, 91560748400, Siqueira, Janilson Bezerra de, 23044659434, Carvalho, Ivan Lira de |
| Publisher | PROGRAMA DE P?S-GRADUA??O EM DIREITO, UFRN, Brasil |
| Source Sets | IBICT Brazilian ETDs |
| Language | Portuguese |
| Detected Language | English |
| Type | info:eu-repo/semantics/publishedVersion, info:eu-repo/semantics/masterThesis |
| Source | reponame:Repositório Institucional da UFRN, instname:Universidade Federal do Rio Grande do Norte, instacron:UFRN |
| Rights | info:eu-repo/semantics/openAccess |
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