Must continuously monitor all operations carried out within the trading environment (organized OTC market).
The objective is to identify potential indications of actions that may harm the proper functioning of the market, such as: creation of artificial supply and demand conditions, manipulation of orders and prices, fraudulent transactions, use of practices that do not promote fairness in trading, and money laundering. In cases of suspected irregularities, BEE4 initiates an analysis and investigation process.
Operations Supervision provides a safer environment for investors, intermediaries, and listed companies, ensuring transparency in offerings, transactions, and price formation.
The maintenance of Operations Supervision is mandatory in regulated markets, in accordance with CVM regulations, to which BEE4 is subject.
BEE4’s Self-Regulation area, which operates autonomously and independently from the company’s management, reports directly to the Self-Regulation Board and to BEE4’s Board of Directors.
The Self-Regulation Board is responsible for overseeing the execution of the Self-Regulation area’s work plan and for adjudicating administrative proceedings.
The Self-Regulation area must provide information requested by the CVM or other authorities whenever required.
BEE4 also maintains an anonymous whistleblowing channel, accessible through this link, which is received and handled by the Self-Regulation area.
BEE4 has a Compliance and Internal Controls Department focused on establishing procedures, rules, and controls aimed at mitigating risks of errors, fraud, and regulatory violations. In addition, internal controls and compliance programs are essential to strengthening BEE4’s governance, enhancing credibility with clients, improving the quality of services provided, promoting organizational culture and its ethical principles, and reinforcing standards of conduct.
