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The Gatekeeper theory and its interaction with capital markets law and criminal law: study of the reception in Brazil

Grant number: 17/09121-6
Support Opportunities:Scholarships in Brazil - Scientific Initiation
Effective date (Start): August 01, 2018
Effective date (End): July 31, 2019
Field of knowledge:Applied Social Sciences - Law - Public Law
Principal Investigator:Eduardo Saad Diniz
Grantee:Mariana Urban
Host Institution: Faculdade de Direito de Ribeirão Preto (FDRP). Universidade de São Paulo (USP). Ribeirão Preto , SP, Brazil


This research intends to study the reception of the Gatekeeper's Theory in Brazil, based on the interaction of the capital markets law and the measures of punitive enforcement, peculiarity of the criminal law, questioning about the liability limits of the people who occupy the position of gatekeeper in a company's hierarchy. This research is oriented by an imputation on reason of the real participation of the agent in crime, or reduces the figure of the gatekeeper as a source of danger for the corporate structure. That said, the research will be divided in 4 (four) steps for analysis: (a) The study of the definition and issues about the gatekeeper's theory (b) Interaction of the capital markets law and criminal law (c) Failure of prevention and the issue of liability (d) Study of the reception in Brazil. After the literary review about the gatekeeper's theory, the identities and differences between the original thesis of the gatekeeper's theory and the criminal dogmatic will be studied, specially the notions of vigilance duty, compliance officers liability and the limits of liability attribution.

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