| 2018-07-16 | regulatory | CVM TO ASSESS THE RESPONSIBILITY OF BTG PACTUAL ON THE ALLEGED NON-COMPLIANCE WITH THE LEGAL PROVISION GRANTED TO MINORITY SHAREHOLDERS OF A COMPANY - PROVIDED THE APPLICABLE LEGAL PARAMETERS ARE COMPLIED WITH - REGARDING THE RIGHT TO APPOINT ON A SEPARATE ELECTION ITS MEMBER AND CORRESPONDENT ALTER… | Pending | — |
| 2018-02-05 | regulatory | THIS ADMINISTRATIVE PROCEEDING WAS INITIATED BY CVM TO ASSESS THE RESPONSIBILITY OF BTG PACTUAL CORRETORA DE TITULOS E VALORES MOBILIÁRIOS SA ("CTVM") AND THE INDIVIDUALS LISTED BELOW REGARDING CERTAIN TRANSACTIONS PERFORMED UNDER BTG PACTUAL'S BUY-BACK PROGRAM, THROUGH "BBTG11" UNITS ("UNITS") TRAD… | Pending | — |
| 2018-02-05 | regulatory | THIS ADMINISTRATIVE PROCEEDING WAS INITIATED BY CVM TO ASSESS THE RESPONSIBILITY OF BTG PACTUAL CORRETORA DE TITULOS E VALORES MOBILIARIOS SA ("CTVM") AND THE INDIVIDUALS LISTED BELOW REGARDING CERTAIN TRANSACTIONS PERFORMED UNDER BTG PACTUAL'S BUY-BACK PROGRAM, THROUGH "BBTG11" UNITS ("UNITS") TRAD… | Pending | — |
| 2017-11-10 | regulatory | THIS ADMINISTRATIVE PROCEEDING WAS INITIATED BY THE BRAZILIAN SECURITIES AND EXCHANGE COMMISSION (COMISS?O DE VALORES MOBILIARIOS - "CVM") WITH THE PURPOSE OF ASSESSING THE RESPONSIBILITY OF BTG PACTUAL SERVICOS FINANCEIROS S.A. DTVM ("BTG PACTUAL DTVM"), IN ITS CAPACITY OF ADMINISTRATOR OF TWO INVE… | Pending | $250K |
| 2017-11-10 | regulatory | THIS ADMINISTRATIVE PROCEEDING WAS INITIATED BY THE BRAZILIAN SECURITIES AND EXCHANGE COMMISSION (COMISSÃO DE VALORES MOBILIÁRIOS - "CVM") WITH THE PURPOSE OF ASSESSING THE RESPONSIBILITY OF BTG PACTUAL SERVIÇOS FINANCEIROS S.A. DTVM ("BTG PACTUAL DTVM"), IN ITS CAPACITY OF ADMINISTRATOR OF TWO INVE… | Pending | $250K |
| 2017-10-17 | regulatory | THIS ADMINISTRATIVE PROCEEDING WAS INITIATED BY THE BRAZILIAN SECURITIES AND EXCHANGE COMMISSION (COMISSÃO DE VALORES MOBILIÁRIOS - "CVM") TO DETERMINE THE RESPONSIBILITY OF BANCO BTG PACTUAL S.A. ("BTG PACTUAL") AS THE MANAGER OF FUNDO DE INVESTIMENTO MULTICREDITO CRÉDITO PRIVADO LS INVESTIMENTO NO… | Pending | — |
| 2017-10-17 | regulatory | THIS ADMINISTRATIVE PROCEEDING WAS INITIATED BY THE BRAZILIAN SECURITIES AND EXCHANGE COMMISSION (COMISS?O DE VALORES MOBILIARIOS - "CVM") TO DETERMINE THE RESPONSIBILITY OF BANCO BTG PACTUAL S.A. ("BTG PACTUAL") AS THE MANAGER OF FUNDO DE INVESTIMENTO MULTICREDITO CREDITO PRIVADO LS INVESTIMENTO NO… | Pending | — |
| 2017-06-02 | regulatory | THIS ADMINISTRATIVE PROCEEDING WAS INITIATED BY THE BRAZILIAN SECURITIES AND EXCHANGE COMMISSION (COMISSÃO DE VALORES MOBILIÁRIOS - "CVM") WITH THE PURPOSE OF ASSESSING THE LIABILITY OF BANCO BTG PACTUAL S.A. ("BTG PACTUAL") AND GARDE ASSET MANAGEMENT GESTÃO DE RECURSOS LTDA. ("GARDE ASSET") CONCERN… | Final | $400K |
| 2017-06-02 | regulatory | THIS ADMINISTRATIVE PROCEEDING WAS INITIATED BY THE BRAZILIAN SECURITIES AND EXCHANGE COMMISSION (COMISS?O DE VALORES MOBILIARIOS - "CVM") WITH THE PURPOSE OF ASSESSING THE LIABILITY OF BANCO BTG PACTUAL S.A. ("BTG PACTUAL") AND GARDE ASSET MANAGEMENT GEST?O DE RECURSOS LTDA. ("GARDE ASSET") CONCERN… | Final | $400K |
| 2016-12-05 | regulatory | IN DECEMBER 05TH 2016, THE BACEN ALLEGED THAT FROM JANUARY 2009 TO NOVEMBER 2012, DUE TO INEFFICIENT INTERNAL CONTROL STRUCTURES AND OPERATIONAL RISK MANAGEMENT, BANCO BTG PACTUAL S.A. WAS NOT ABLE TO AVOID PRACTICES ALLEGEDLY INADEQUATE IN THE EXCHANGE MARKET NEGOTIATIONS; WHAT SUPPOSEDLY ENABLED B… | Pending | — |