A repressão ao ilícito de operação clandestina de instituição financeirapor uma interação mais eficiente entre direito penal e direito administrativo sancionador

Resumo

The present study deals with the repression of unauthorized operations of financial institutions and proposes, based on the ideas of institutional capacities and harmonization of sanctions effects, a reinterpretation of the interaction between the administrative and criminal spheres. In this perspective, the work questions traditional schemes for solving the problem of the double punishment – whether when resorting to independence between the spheres of liability to assert its legitimacy, or when it is proclaimed that such a repressive system would violate the ne bis in idem principle – and argues that the institutional capacity of the supervisors of the financial system allows to qualify their decisions as important technical assessments on the risk created for the national financial system, which should be considered by the criminal judge in the examination of the typical configuration, especially in the analysis of objective imputation. Moreover, in case of double punishment, there must be a new interaction between the sanctioning spheres, when the criminal judge must consider, in the dosimetry of the penalty or in the conditions set in a criminal agreement, the administrative sanction already applied, to harmonize the effects of sanctions and reduce the punitive excess, according to the constitutional precepts of proportionality and individualization of punishment.

Ficha do documento

Tipo

Dissertação

Ano

2022

Instituição

Fundação Getulio Vargas

Fonte

Repositório da FGV

Idioma

Português

Acesso

Acesso aberto

Identificador

oai:repositorio.fgv.br:10438/33094

Temas

EconomiaAdministração Pública

Palavras-chave

Economic criminal lawFinancial systemFinancial institutionAuthorizationAdministrative infractionSpheres of liabilityInstitutional capacitiesObjective imputationDouble jeopardyHarmonization of sanctions effectsDireito penal econômicoSistema financeiroInstituição financeiraAutorizaçãoInfração administrativaCrimeEsferas de responsabilidadeCapacidades institucionaisImputação objetivaBis in idemHarmonização dos efeitos das sançõesDireitoAtos ilícitosSanções administrativasResponsabilidade (Direito)Instituições financeiras