| 2018-07-16 | regulatory | THE ALLEGED NON-COMPLIANCE WOULD HAVE OCCURRED AT A GENERAL SHAREHOLDERS' MEETING OF GERDAU S.A., A BRAZILIAN STEEL COMPANY ("GERDAU"), IN WHICH BTG PACTUAL APPOINTED - IN THE CAPACITY OF A MINORITY SHAREHOLDER - A MEMBER OF GERDAU'S FISCAL COUNCIL. | Pending | — |
| 2018-02-05 | regulatory | THE CVM'S TECHNICAL DEPARTMENT MAINLY CLAIMS THAT, WITHIN THE SCOPE OF THE UNITS' BUYBACK PROGRAM, MARCELO KALIM (THEN OFFICER OF BTG PACTUAL AND CURRENT MEMBER OF BTG PACTUAL'S CONTROLLING GROUP), MARCUS SARDINHA (THEN OFFICER OF BTG PACTUAL), JO-SE ZITELMANN (THEN OFFICER OF BTG PACTUAL ASSET MANA… | 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 |
| 2017-10-17 | 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 (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… | Pending | $2.3M |
| 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 | — |
| 2016-10-03 | regulatory | THE ADMINISTRATIVE PROCEEDING CVM RJ NO. 2016/6203 (THE "PROCEEDING") WAS INITIATED BY THE BRAZILIAN SECURITIES AND EXCHANGE COMMISSION (COMISS?O DE VALORES MOBILIARIOS - "CVM") AGAINST, AMONG OTHER PARTIES, MR. JERCKNS AFFONSO CRUZ ("MR. JERCKNS"), AN EMPLOYEE OF BANCO BTG PACTUAL S.A. ("BANCO"), W… | Pending | — |
| 2016-07-28 | criminal | — | Final | — |
| 2015-11-25 | criminal | — | Final | — |
| 2015-08-21 | regulatory | SPOOFING IN VIOLATION OF EXCHANGE RULES. | Final | $50K |