O processo administrativo das instituições financeiras à luz da Lei nº. 13.506/2017
Autor(a) principal: | |
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Data de Publicação: | 2021 |
Tipo de documento: | Dissertação |
Idioma: | por |
Título da fonte: | Biblioteca Digital de Teses e Dissertações da PUC_SP |
Texto Completo: | https://repositorio.pucsp.br/jspui/handle/handle/24273 |
Resumo: | The present dissertation has the nodal point of examining the administrative sanctioning law that applies to financial institutions within the scope of the Central Bank of Brazil. This is because, after the enactment of Law no. 13,506 / 2017, the theme gained a legal framework, with several innovations in relation to the text of the fifty-year old Law no. 4.595/64 that regulated the matter until then and, in addition to being out of time, has fundamental gaps in the subject of the sanctioning law, by failing to address issues such as the procedural rite, typology of infractions and the possibility of using consensual instruments. The consequence of these gaps was the issuance of several rules of an infra legal nature that ended up guiding the sanctioning process at the Central Bank, which was overcome with the promulgation of the new law. Thus, after analyzing the evolution in sanction law in Brazil and how this sphere of administrative law ceases to have a purely retributive role to have an instrumental character, the work focuses on analyzing the innovations presented by the new legal text, as well as its weak points that still need evolution, together with proposals to overcome these weaknesses. Then, the study presents in detail the main advance of the legislative text, consisting of the inclusion of conciliation instruments within the scope of the sanctioning law of the Central Bank of Brazil. Finally, the survey presents the main positions of the Brazilian Courts and the Appeals Council of the National Financial System regarding the application of the new legislation. With this, the research can conclude that the theme presents a striking legislative, doctrinal and jurisprudential evolution, as well as that the penalties applied until the present moment, did not incur the weak points of the legislation. However, the research points out that the precedents studied so far are subject to the political pluralism of the public authorities, as well as that there are themes in the legislation that still cause legal uncertainty to the administrators |
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Rocha, Silvio Luis Ferreira dahttp://lattes.cnpq.br/4633093723575740http://lattes.cnpq.br/5836241751590200Costa, Pedro Luiz Chagas2022-02-02T18:49:50Z2022-02-02T18:49:50Z2021-05-24Costa, Pedro Luiz Chagas. O processo administrativo das instituições financeiras à luz da Lei nº. 13.506/2017. 2021. Dissertação (Mestrado em Direito) - Programa de Estudos Pós-Graduados em Direito da Pontifícia Universidade Católica de São Paulo, São Paulo, 2021.https://repositorio.pucsp.br/jspui/handle/handle/24273The present dissertation has the nodal point of examining the administrative sanctioning law that applies to financial institutions within the scope of the Central Bank of Brazil. This is because, after the enactment of Law no. 13,506 / 2017, the theme gained a legal framework, with several innovations in relation to the text of the fifty-year old Law no. 4.595/64 that regulated the matter until then and, in addition to being out of time, has fundamental gaps in the subject of the sanctioning law, by failing to address issues such as the procedural rite, typology of infractions and the possibility of using consensual instruments. The consequence of these gaps was the issuance of several rules of an infra legal nature that ended up guiding the sanctioning process at the Central Bank, which was overcome with the promulgation of the new law. Thus, after analyzing the evolution in sanction law in Brazil and how this sphere of administrative law ceases to have a purely retributive role to have an instrumental character, the work focuses on analyzing the innovations presented by the new legal text, as well as its weak points that still need evolution, together with proposals to overcome these weaknesses. Then, the study presents in detail the main advance of the legislative text, consisting of the inclusion of conciliation instruments within the scope of the sanctioning law of the Central Bank of Brazil. Finally, the survey presents the main positions of the Brazilian Courts and the Appeals Council of the National Financial System regarding the application of the new legislation. With this, the research can conclude that the theme presents a striking legislative, doctrinal and jurisprudential evolution, as well as that the penalties applied until the present moment, did not incur the weak points of the legislation. However, the research points out that the precedents studied so far are subject to the political pluralism of the public authorities, as well as that there are themes in the legislation that still cause legal uncertainty to the administratorsA presente dissertação possui como ponto nodal examinar o direito administrativo sancionador que incide perante às instituições financeiras no âmbito do Banco Central do Brasil. Isso porque, após a edição da Lei nº. 13.506/2017, o tema ganhou um marco legal, com diversas inovações em relação ao texto da cinquentenária Lei nº. 4.595/64 que regulava a matéria até então e, além de defasada no tempo, possui lacunas primordiais no tema do direito sancionador, ao deixar de abordar temas como o rito processual, tipologia das infrações e possibilidade de utilização de instrumentos consensuais. Consequência dessas lacunas foi a edição de diversas normas de caráter infra legal que acabavam norteando o processo sancionador no Banco Central, o que foi superado com a promulgação da nova lei. Assim, depois de analisar a evolução no direito sancionador no Brasil e como essa esfera do direito administrativo deixa de ter um papel somente retributivo para ter um caráter instrumental, o trabalho se concentra em analisar as inovações apresentadas pelo novo texto legal, bem como seus pontos frágeis que ainda carecem de evolução, juntamente com propostas de superação dessas fragilidades. Em seguida, o estudo apresenta pormenorizadamente o principal avanço do texto legislativo, consistente na inclusão de instrumentos de conciliação no âmbito do direito sancionador do Banco Central do Brasil. Por fim, a pesquisa apresenta os principais posicionamentos dos Tribunais Pátrios e do Conselho de Recursos do Sistema Financeiro Nacional a respeito da aplicação da nova legislação. Com isso, a pesquisa pode concluir que o tema apresenta flagrante evolução legislativa, doutrinária e jurisprudencial, bem como que as penalidades aplicadas até o presente momento, não incorreram nos pontos frágeis da legislação. Entretanto, a pesquisa ressalta que os precedentes estudados até aqui estão sujeitos ao pluralismo político do poder público, bem como que há temas na legislação que ainda acarretam em insegurança jurídica aos administradosporPontifícia Universidade Católica de São PauloPrograma de Estudos Pós-Graduados em DireitoPUC-SPBrasilFaculdade de DireitoCNPQ::CIENCIAS SOCIAIS APLICADAS::DIREITODireito administrativo - BrasilSanções administrativas - BrasilAdministrative law - BrazilSanctions, Administrative - BrazilO processo administrativo das instituições financeiras à luz da Lei nº. 13.506/2017info:eu-repo/semantics/publishedVersioninfo:eu-repo/semantics/masterThesisinfo:eu-repo/semantics/openAccessreponame:Biblioteca Digital de Teses e Dissertações da PUC_SPinstname:Pontifícia Universidade Católica de São Paulo (PUC-SP)instacron:PUC_SPORIGINALPedro Luiz Chagas Costa.pdfapplication/pdf1290914https://repositorio.pucsp.br/xmlui/bitstream/handle/24273/1/Pedro%20Luiz%20Chagas%20Costa.pdf81c664c4c52dcca823b3f9cb0f708703MD51TEXTPedro Luiz Chagas Costa.pdf.txtPedro Luiz Chagas Costa.pdf.txtExtracted texttext/plain509285https://repositorio.pucsp.br/xmlui/bitstream/handle/24273/2/Pedro%20Luiz%20Chagas%20Costa.pdf.txt819164a1dedcc5ab26e5caac8655c938MD52THUMBNAILPedro Luiz Chagas Costa.pdf.jpgPedro Luiz Chagas Costa.pdf.jpgGenerated Thumbnailimage/jpeg1194https://repositorio.pucsp.br/xmlui/bitstream/handle/24273/3/Pedro%20Luiz%20Chagas%20Costa.pdf.jpg353e4b31eabadd53c88a0d2ee11396dcMD53handle/242732022-08-22 11:15:48.136oai:repositorio.pucsp.br:handle/24273Biblioteca Digital de Teses e Dissertaçõeshttps://sapientia.pucsp.br/https://sapientia.pucsp.br/oai/requestbngkatende@pucsp.br||rapassi@pucsp.bropendoar:2022-08-22T14:15:48Biblioteca Digital de Teses e Dissertações da PUC_SP - Pontifícia Universidade Católica de São Paulo (PUC-SP)false |
dc.title.pt_BR.fl_str_mv |
O processo administrativo das instituições financeiras à luz da Lei nº. 13.506/2017 |
title |
O processo administrativo das instituições financeiras à luz da Lei nº. 13.506/2017 |
spellingShingle |
O processo administrativo das instituições financeiras à luz da Lei nº. 13.506/2017 Costa, Pedro Luiz Chagas CNPQ::CIENCIAS SOCIAIS APLICADAS::DIREITO Direito administrativo - Brasil Sanções administrativas - Brasil Administrative law - Brazil Sanctions, Administrative - Brazil |
title_short |
O processo administrativo das instituições financeiras à luz da Lei nº. 13.506/2017 |
title_full |
O processo administrativo das instituições financeiras à luz da Lei nº. 13.506/2017 |
title_fullStr |
O processo administrativo das instituições financeiras à luz da Lei nº. 13.506/2017 |
title_full_unstemmed |
O processo administrativo das instituições financeiras à luz da Lei nº. 13.506/2017 |
title_sort |
O processo administrativo das instituições financeiras à luz da Lei nº. 13.506/2017 |
author |
Costa, Pedro Luiz Chagas |
author_facet |
Costa, Pedro Luiz Chagas |
author_role |
author |
dc.contributor.advisor1.fl_str_mv |
Rocha, Silvio Luis Ferreira da |
dc.contributor.advisor1Lattes.fl_str_mv |
http://lattes.cnpq.br/4633093723575740 |
dc.contributor.authorLattes.fl_str_mv |
http://lattes.cnpq.br/5836241751590200 |
dc.contributor.author.fl_str_mv |
Costa, Pedro Luiz Chagas |
contributor_str_mv |
Rocha, Silvio Luis Ferreira da |
dc.subject.cnpq.fl_str_mv |
CNPQ::CIENCIAS SOCIAIS APLICADAS::DIREITO |
topic |
CNPQ::CIENCIAS SOCIAIS APLICADAS::DIREITO Direito administrativo - Brasil Sanções administrativas - Brasil Administrative law - Brazil Sanctions, Administrative - Brazil |
dc.subject.por.fl_str_mv |
Direito administrativo - Brasil Sanções administrativas - Brasil |
dc.subject.eng.fl_str_mv |
Administrative law - Brazil Sanctions, Administrative - Brazil |
description |
The present dissertation has the nodal point of examining the administrative sanctioning law that applies to financial institutions within the scope of the Central Bank of Brazil. This is because, after the enactment of Law no. 13,506 / 2017, the theme gained a legal framework, with several innovations in relation to the text of the fifty-year old Law no. 4.595/64 that regulated the matter until then and, in addition to being out of time, has fundamental gaps in the subject of the sanctioning law, by failing to address issues such as the procedural rite, typology of infractions and the possibility of using consensual instruments. The consequence of these gaps was the issuance of several rules of an infra legal nature that ended up guiding the sanctioning process at the Central Bank, which was overcome with the promulgation of the new law. Thus, after analyzing the evolution in sanction law in Brazil and how this sphere of administrative law ceases to have a purely retributive role to have an instrumental character, the work focuses on analyzing the innovations presented by the new legal text, as well as its weak points that still need evolution, together with proposals to overcome these weaknesses. Then, the study presents in detail the main advance of the legislative text, consisting of the inclusion of conciliation instruments within the scope of the sanctioning law of the Central Bank of Brazil. Finally, the survey presents the main positions of the Brazilian Courts and the Appeals Council of the National Financial System regarding the application of the new legislation. With this, the research can conclude that the theme presents a striking legislative, doctrinal and jurisprudential evolution, as well as that the penalties applied until the present moment, did not incur the weak points of the legislation. However, the research points out that the precedents studied so far are subject to the political pluralism of the public authorities, as well as that there are themes in the legislation that still cause legal uncertainty to the administrators |
publishDate |
2021 |
dc.date.issued.fl_str_mv |
2021-05-24 |
dc.date.accessioned.fl_str_mv |
2022-02-02T18:49:50Z |
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2022-02-02T18:49:50Z |
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info:eu-repo/semantics/publishedVersion |
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info:eu-repo/semantics/masterThesis |
format |
masterThesis |
status_str |
publishedVersion |
dc.identifier.citation.fl_str_mv |
Costa, Pedro Luiz Chagas. O processo administrativo das instituições financeiras à luz da Lei nº. 13.506/2017. 2021. Dissertação (Mestrado em Direito) - Programa de Estudos Pós-Graduados em Direito da Pontifícia Universidade Católica de São Paulo, São Paulo, 2021. |
dc.identifier.uri.fl_str_mv |
https://repositorio.pucsp.br/jspui/handle/handle/24273 |
identifier_str_mv |
Costa, Pedro Luiz Chagas. O processo administrativo das instituições financeiras à luz da Lei nº. 13.506/2017. 2021. Dissertação (Mestrado em Direito) - Programa de Estudos Pós-Graduados em Direito da Pontifícia Universidade Católica de São Paulo, São Paulo, 2021. |
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por |
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por |
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Faculdade de Direito |
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Pontifícia Universidade Católica de São Paulo |
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