Título:	Conformidade e maturidade de instituições financeiras à Resolução N 4.557/2017 : proposta de instrumento de avaliação
Autor(es):	Melo, Tassio Mozart Borges
Orientador(es):	Oliveira, Edgard Costa
Coorientador(es):	Neumann, Clóvis
Assunto:	Riscos financeiros Gestão de riscos Banco Central do Brasil Resolução No 4.557/2017
Data de publicação:	5-Jun-2019
Data de defesa:	13-Dez-2018
Referência:	MELO, Tassio Mozart Borges. Conformidade e maturidade de instituições financeiras à Resolução N 4.557/2017: proposta de instrumento de avaliação. 2018. xii 129 f., il. Dissertação (Mestrado Profissional em Computação Aplicada)—Universidade de Brasília, Brasília, 2018.
Abstract:	All financial institutions operating in Brazil must adhere to the standards and resolutions published by the regulatory agency, which is the Central Bank of Brazil (BACEN). One of these resolutions is No. 4,557 of 2017 which deals with the risk management structure and the capital management structure that institutions must implement. This resolution was chosen by this work as being the main and most current among those published by BACEN with a focus on risk management. As there is no tool for assessing the institutions’ compliance with the resolution, this paper aims to propose an evaluation instrument - the IACM, which is composed of questionnaires, to be used by Financial Institutions for resolution BACEN No. 4,557 / 2017. Its development was based on Resolution No. 4,557 / 2017 itself, while it was necessary to extract the criteria of the resolution to form the IACM questionnaires. It was prepared in an Excel spreadsheet to present the compliance and maturity of the Financial Institution, and for the maturity the AHP technique was used. The IACM was validated in a Financial Institution by a risk manager and, if it has matured with its processes, reached level 5 of maturity. In relation to general compliance, the Financial Institution obtained a value of 93.05% in relation to the resolution. The risk manager considered the use of the IACM of great importance in the activities of the managers, as it serves as a support tool in management activities, presenting the processes that need attention in order to adapt to the resolution of BACEN No. 4,557 / 2017. Therefore, it is important to highlight that the use of the IACM is capable of evaluating the Financial Institutions in relation to the BACEN resolution, but it is important that these Financial Institutions are aware of using it, since only with an evaluation instrument can it be identified the actual situation of their processes in relation to the resolution and to know the weak points so that the efforts are directed in order to adapt to the demands of the regulator.
Unidade Acadêmica:	Instituto de Ciências Exatas (IE) Departamento de Ciência da Computação (IE CIC)
Informações adicionais:	Dissertação (mestrado)—Universidade de Brasília, Instituto de Ciências Exatas, Departamento de Ciência da Computação, 2018.
Programa de pós-graduação:	Programa de Pós-Graduação em Computação Aplicada, Mestrado Profissional
Licença:	A concessão da licença deste item refere-se ao termo de autorização impresso assinado pelo autor com as seguintes condições: Na qualidade de titular dos direitos de autor da publicação, autorizo a Universidade de Brasília e o IBICT a disponibilizar por meio dos sites www.bce.unb.br, www.ibict.br, http://hercules.vtls.com/cgi-bin/ndltd/chameleon?lng=pt&skin=ndltd sem ressarcimento dos direitos autorais, de acordo com a Lei nº 9610/98, o texto integral da obra disponibilizada, conforme permissões assinaladas, para fins de leitura, impressão e/ou download, a título de divulgação da produção científica brasileira, a partir desta data.
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