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José Alexandre Cavalcanti Vasco, Investor Education and PDF

37 Pages·2013·4.06 MB·English
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José Alexandre C. Vasco Investor Education and Protection Office Securities and Exchange Commission of Brazil Investor Protection and Education Investor Protection* Rule Making Enforcement Education** * Objectives of Securities Regulation: (i) Investor Protection; (ii) Markets fair, efficient and transparent; and (iii) Reduction of Systemic Risk. **Investor Education in Canada: Towards A Better Framework”- Caroline Cakebread (2006): "As one individual interviewed said, investor education, which is viewed as central to • investor protection, is still a ‘weak third leg’ of commission mandates (…) , after rule making and enforcement”. “At present, organizations appear to struggle with funding when it comes to investor • education. Investor education among the securities commissions is often seen as a ‘weak third leg’”. Investor Education and Protection Office Channel/Initiative 1998-2012 Local assistance 59.411 Telephone calls 180.342 Toll-free line calls 571.619 Internet (system + e-mail) 154.260 Administrative proceedings 21.716 Others 14.305 Investor Assistance - TOTAL 1.001.653 Printed Publications distributed 778.151 1.779.804 TOTAL Investor Assistance 1. CVM`s website: questions/tips/complaint system. 2. CVM`s Investor`s Portal: questions form. 3. Toll-free number (0800): questions. 4. Information Centers (access to administrative proceedings and documents – CVM and market participants). Assistance Data Base INVESTORS (history of questions/ans wers) EXTERNAL INTERNAL Tips, questions and complaints Annual Monthly Complaint Report Report BOARD OF COMMISSIONERS + PUBLIC (CVM`s website) CVM’S DEPARTMENTS • Ranking of the market • Montlys report: ranking of participants with the most PUBLICATIONS market participants (complaints) complaints against them COURSES •Investigations or enforcement • Most common complaints POSTS actions ETC. Education Timeline - Investor Education CODIMEC Education and Partnerships Public-private Protection Office CVM established committee on Education and Advisory National Strategy Law 6,385 of 1976 education / private- Assistance Committee on as a federal Education policy sector funds (Investor`s week) 1999 11997767 1978 1991 1998 2006 2007 2010 2011 2005 CVM starts CODIMEC`s end CVM initiatives National Strategy CONEF Comissioners + 3 Funding issues Asssistance and FE National Working Group areas (investor education: Committee Financial regulators, assistance, listed Toll-free line federal agencies, companies and Booklets ministries, SRO and market supervision) University Circuit few NGO (coordinated by the Townmeetings CVM) 2006 Public-private partnerships FE National Strategy Regulators, Ministries, SRO, Associations and Foundations FE in Schools Educational Support Group (2008) National Strategy and FE Guidelines (2009). for Financial Education 08/09 Working Group Education 2010 To draft a FE Investor`s Portal National Strategy Twitter CVMEducacional 2007 2007 (FB and YouTube: 2012) 2010 Partnership New Investor`s Portal 2012 Investor Education and Assistance E-Learning 2010 2006 The CVM`s own initiatives to protect and educate investors 2013 CM Ombudsmen 2007 Assistance New complaints Portal. Partnership Judges 2006 training programs Example text Professors 2006 Journalists One-week 2006 Award training program, 2 per year. Advisory Committee on Education The CVM, SROs and Capital Professors Market Associations. 2012 Book “the Brazilian Securities Market” Investor Education 1. Publications (booklets, alerts etc.): CVM and CVM+ partners. 2. Seminars (universities, companies etc.). 3. Investment EXPO (since 2000): 12-14 events p/year in different cities. 4. Rio de Janeiro`s School of Financial Education (2011). 5. Investor`s Portal (2007) > Version 2.0 (2012). 6. E-learning webpage > 4 courses (2012). 7. Social Media: twitter, YouTube and Facebook (2010- 2012) CVM’s Advisory Committee on Education www.comitedeeducacao.cvm.gov.br 1. A one-week training program for university professors (“Programa TOP XIII” JAN14): free public book to support a 6 months undergraduate course on capital markets. 580 professors trained from 21 states since 2006. 2. A journalist’s award (“Premio Imprensa”), 8th edition. 50 journalists in 2012/2013. 3. A training program for judges on capital markets. Next step: book “capital markets for judges” (2014) “The Brazilian Securities Market” (8,000 downloads MAR-OCT 13) • www.portaldoinvestidor.gov.br/publicacao/LivroTOP.html

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**Investor Education in Canada: Towards A Better Framework”- Caroline "As one individual interviewed said, investor education, which is viewed as central to.
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