Banca de DEFESA: LUIZ GUILHERME ROS

Uma banca de DEFESA de DOUTORADO foi cadastrada pelo programa.
STUDENT : LUIZ GUILHERME ROS
DATE: 04/07/2025
TIME: 09:00
LOCAL: https://teams.microsoft.com/l/meetupjoin/19%3ameeting_OTYzY2UzNjktZWVlMi00Y2E5LTlmMGItZjZlOTE4MTI1
TITLE:

Nonmonetary sanctions on individuals in Brazil: an analysis of the administrative authorities CADE, CVM and ANPD’s practice.

KEY WORDS:

Nonmonetary Sanction. Sanction. Administrative Authority. Responsibility. Administrative Sanctioning Law; CADE; CARF; CVM; ANPD

PAGES: 250
BIG AREA: Ciências Sociais Aplicadas
AREA: Direito
SUMMARY:

This thesis explores the legal foundations and effectiveness of the application of nonpecuniary administrative sanctions, focusing on the practices of the Brazilian authorities CADE, CVM, and ANPD. Adopting a theoretical-empirical approach, the study examines the centrality of directly holding offenders accountable as an essential element for the effectiveness of the sanctioning system. Starting from an analysis of the role of legal personality and the distinction between natural and legal persons, it explores how administrative liability regimes address individuals who typically occupy strategic positions within corporate decision-making structures and often benefit directly from unlawful conduct. Administrative sanctions are initially categorized into two broad groups – pecuniary and non-pecuniary – and, within the UNIVERSIDADE DE BRASÍLIA FACULDADE DE DIREITO PROGRAMA DE PÓS-GRADUAÇÃO EM DIREITO – MESTRADO E DOUTORADO 2 latter, further classified into reputational, prohibitive, and restrictive sanctions. The empirical analysis, based on sanctioning decisions, identifies patterns, gaps, and challenges in the application of these measures, with an emphasis on the lack of clear reasoning regarding the purpose and suitability of non-pecuniary sanctions. The findings reveal that, although there is a legal basis for imposing non-pecuniary sanctions, their use remains limited when compared to the centrality of fines and the frequent attribution of liability exclusively to legal entities. The thesis ultimately proposes regulatory alternatives to improve the sanctioning model, aiming for greater effectiveness, proportionality, and regulatory coherence in administrative enforcement, by reasserting the role of the individual offender as a responsible subject, rather than relying solely on the legal entity as an abstract construct.

COMMITTEE MEMBERS:
Externo à Instituição - CAIO MÁRIO DA SILVA PEREIRA NETO - FGV
Presidente - 1828282 - AMANDA ATHAYDE LINHARES MARTINS RIVERA
Externa à Instituição - JULIANA BONACORSI DE PALMA - FGV
Interno - 1884024 - PAULO BURNIER DA SILVEIRA
Interno - 2149902 - TARCISIO VIEIRA DE CARVALHO NETO