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Prévia do material em texto

\R. EMERJ, Rio de Janeiro, v. 17, n. 64, p. 164- 186, jan. - abr. 2014\164
Breves Notas sobre Lavagem de 
Dinheiro: Cegueira Deliberada e 
Honorários Maculados
Vlamir Costa Magalhães
:Ƶŝnj�&ĞĚĞƌĂů͘�DĞƐƚƌĞ�Ğŵ��ŝƌĞŝƚŽ�WĞŶĂů�ƉĞůĂ�hŶŝǀĞƌƐŝ-
ĚĂĚĞ�ĚŽ��ƐƚĂĚŽ�ĚŽ�ZŝŽ�ĚĞ�:ĂŶĞŝƌŽ͘�WſƐͲŐƌĂĚƵĂĚŽ�Ğŵ�
ZĞŐƵůĂĕĆŽ� Ğ��ŝƌĞŝƚŽ� WƷďůŝĐŽ� ĚĂ� �ĐŽŶŽŵŝĂ� ƉĞůĂ�hŶŝ-
versidade de Coimbra/Portugal.
͞��ĚĞŵŽĐƌĂĐŝĂ�ůŝďĞƌĂů�ƉƌŽƚĞŐĞ�ŽƐ�ĚŝƌĞŝƚŽƐ�ĚŽ�ŚŽŵĞŵ�Ğ�ŶĆŽ�
ŽƐ� ĐƌŝŵĞƐ� ĚŽ� ŚŽŵĞŵ͘� DĂůĚŝƚĂ� ƐĞƌŝĂ� Ă� ĚĞŵŽĐƌĂĐŝĂ� ůŝďĞ-
ƌĂů͕�ƐĞ�ƐĞ�ƉƌĞƐƚĂƐƐĞ�Ă�ƵŵĂ�ƉŽůşƟĐĂ�ĚĞ�ĐƵŵƉůŝĐŝĚĂĚĞ�ĐŽŵ�Ă�
ĚĞůŝŶƋƵġŶĐŝĂ͘͟1 
ϭ�ͳ�Z�>�dK�,/^dMZ/�K
��ĐŝġŶĐŝĂ�ƉĞŶĂů�ĞŶĨƌĞŶƚĂ�ĂƚƵĂůŵĞŶƚĞ�ƵŵĂ�ŶŽǀĂ�ĞƌĂ�ĚĂ�ĐƌŝŵŝŶĂůŝĚĂĚĞ�
ŵĂƌĐĂĚĂ�ƉĞůĂ�ŽƌŐĂŶŝnjĂĕĆŽ͕�ŝŶƚĞƌŶĂĐŝŽŶĂůŝĚĂĚĞ�Ğ�ƉŽĚĞƌŝŽ�ĞĐŽŶƀŵŝĐŽ2. As 
ƚĞŶĚġŶĐŝĂƐ�ĚŽ�ƐŝƐƚĞŵĂ�ƉƵŶŝƟǀŽ�ƐĆŽ͕�ŵĂŝƐ�ĚŽ�ƋƵĞ�ŶƵŶĐĂ͕�ƉĂƵƚĂĚĂƐ�ƉĞůĂƐ�
ŶƵĂŶĐĞƐ�ĞĐŽŶƀŵŝĐŽͲƐŽĐŝĂŝƐ͘�EĞƐƚĞ�ĐŽŶƚĞdžƚŽ͕�Ă�ĐĂŵƵŇĂŐĞŵ�ĚŽ�ƉĂƚƌŝŵƀŶŝŽ�
ĚĞ�ŽƌŝŐĞŵ�ŝůşĐŝƚĂ�ƚĞŵ�ƐĞ�ƌĞǀĞůĂĚŽ�ĐŽŵŽ�ŝŶƐƚƌƵŵĞŶƚŽ�ĚĞ�ƉĞƌƉĞƚƵĂĕĆŽ�ĚŽ�
ĐŝĐůŽ�ǀŝĐŝŽƐŽ�ĚĞ�ƌĞĮŶĂŶĐŝĂŵĞŶƚŽ�ĚĂ�ĚĞůŝŶƋƵġŶĐŝĂ�ŵŽĚĞƌŶĂ͕�ŵŽƟǀŽ�ƉĞůŽ�
ƋƵĂů� ƐŝŐŶŝĮĐĂƟǀĂ�ƉĂƌĐĞůĂ�ĚĂ�ĚŽƵƚƌŝŶĂ�ǀĞŵ�ĐŽŶƚƌĂƌŝĂŶĚŽ�Ž� ũĄ�ĐŽƌƌŝƋƵĞŝƌŽ�
ĚŝƐĐƵƌƐŽ� ĚĞ� ĐƌşƟĐĂ� ĂŽ� ĂůĂƌŐĂŵĞŶƚŽ� ƚĞŵĄƟĐŽ� ĚŽ� ŽƌĚĞŶĂŵĞŶƚŽ� ĐƌŝŵŝŶĂů͕�
1 Cf. HUNGRIA, Nelson e FRAGOSO, Cláudio Heleno. Comentários ao Código Penal, v. I, tomo I: arts. 1o ao 10. 5a ed. 
Rio de Janeiro: Forense, 1976, p. 67.
Ϯ�^/>s�Ͳ^�E�,�͕�:ĞƐƷƐͲDĂƌŝĂ͘���ĞdžƉĂŶƐĆŽ�ĚŽ�ĚŝƌĞŝƚŽ�ƉĞŶĂů͗�ĂƐƉĞĐƚŽƐ�ĚĂ�ƉŽůşƟĐĂ�ĐƌŝŵŝŶĂů�ŶĂƐ�ƐŽĐŝĞĚĂĚĞƐ�ƉſƐͲŝŶĚƵƐ-
triais. Trad. Luiz Otavio de Oliveira Rocha. São Paulo: RT, 2002, p. 80.
\R. EMERJ, Rio de Janeiro, v. 17, n. 64, p. 164- 186, jan. - abr. 2014\ 165
ƵŵĂ�ǀĞnj�ƋƵĞ�ƐĞ�ƌĞĐŽŶŚĞĐĞ�ŶŽ�ĐŽŵďĂƚĞ�ă�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ�Ƶŵ�ĐůĂƌŽ�
exemplo de expansão razoável3 do Direito Penal. 
�ŵ�ůŝŶŚĂƐ�ŐĞƌĂŝƐ͕�ƉŽĚĞͲƐĞ�ĂĮƌŵĂƌ�ƋƵĞ�Ž�ĞŶĐŽďƌŝŵĞŶƚŽ�ĚŽ�ƉƌŽĚƵƚŽ�
ƉĂƚƌŝŵŽŶŝĂů�ĚĞ�ŝŶĨƌĂĕƁĞƐ�ƉĞŶĂŝƐ�ƌĞƐƵŵĞ�Ă�ĞƐƐġŶĐŝĂ�ĚŽ�ƋƵĞ�ƐĞ�ĐŽŶǀĞŶĐŝŽ-
ŶŽƵ�ĐŚĂŵĂƌ�ĚĞ�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ�Ğ�Ă�ƟƉŝĮĐĂĕĆŽ�ƉĞŶĂů�ĚĞƐƚĂ�ĐŽŶĚƵƚĂ�
ŶĆŽ�ƌĞƉƌĞƐĞŶƚŽƵ�Ă�ƐŝŵƉůĞƐ�ĂĚŝĕĆŽ�ĚĞ�Ƶŵ�ĚĞůŝƚŽ�ĂŽ�ĐĂƚĄůŽŐŽ�ůĞŐĂů͕�ŵĂƐ�Ɛŝŵ�
Ă�ŝŵƉůĞŵĞŶƚĂĕĆŽ�ĚĞ�ŝŶĠĚŝƚĂ�ƉŽůşƟĐĂ�ĚĞ�ĞŶĨƌĞŶƚĂŵĞŶƚŽ�ĚĂƐ�ŐƌĂǀĞƐ�Ğ�ŝŶĐŝ-
ƐŝǀĂƐ�ŵĂŶŝĨĞƐƚĂĕƁĞƐ�ĐƌŝŵŝŶŽƐĂƐ�ƋƵĞ͕�ĚĞ�ƌĞŐƌĂ͕�ƉƌĞĐĞĚĞŵ�ŽƵ�ĞŶǀŽůǀĞŵ�Ă�
ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ4. 
,Ą�ŵŝůġŶŝŽƐ͕�Ž��ſĚŝŐŽ�ĚĞ�,ĂŵƵƌĂďŝ�ũĄ�ƉƵŶŝĂ͕�ĐŽŵ�Ă�ƉĞŶĂ�ĚĞ�ŵŽƌƚĞ͕�
ĂƋƵĞůĞ�ƋƵĞ�ƐĞ�ĞŶĐŽŶƚƌĂƐƐĞ�ŶĂ�ƉŽƐƐĞ�ŽƵ�ĨƌƵŝĕĆŽ�ĚĞ�ďĞŶƐ�ĚĂ��ŽƌƚĞ͕�ĚĂ�/ŐƌĞũĂ�
ŽƵ� ĚĞ� ĞƐĐƌĂǀŽƐ� ĚĞ� ƚĞƌĐĞŝƌŽƐ͕� ƐĞŵ�Ă� ĚĞǀŝĚĂ� ĐŽŵƉƌŽǀĂĕĆŽ�ĚĂ� ůŝĐŝƚƵĚĞ� ĚĂ�
ĂƋƵŝƐŝĕĆŽ5͘�,Ą͕�ŶŽ�ĞŶƚĂŶƚŽ͕�ƋƵĞŵ�ĂƉŽŶƚĞ�ƋƵĞ�Ă�ŝŶĐƌŝŵŝŶĂĕĆŽ�ŵĂŝƐ�ĂƐƐĞ-
ŵĞůŚĂĚĂ�ă�ůĂǀĂŐĞŵ�ƚĞǀĞ�ŽƌŝŐĞŵ�ŶĂ��ŚŝŶĂ͕�ŽŶĚĞ͕�ŚĄ�ĐĞƌĐĂ�ĚĞ�ƚƌġƐ�ŵŝů�ĂŶŽƐ͕�
era previsto o sancionamento penal de mercadores que transferissem a 
ƚĞƌĐĞŝƌŽƐ�ďĞŶƐ�ƐŽŶĞŐĂĚŽƐ�ƉĞƌĂŶƚĞ�Ž��ƐƚĂĚŽ6. 
^Ğ�ƉŽƌ�Ƶŵ�ůĂĚŽ͕�ƉĞƌĚĞŵͲƐĞ�ŶŽ�ƚĞŵƉŽ�ĂƐ�ƚĞŶƚĂƟǀĂƐ�ĚĞ�ĨĂnjĞƌ�ǀĂůĞƌ�Ž�
ĚŝƚĂĚŽ�ƐĞŐƵŶĚŽ�Ž�ƋƵĂů�Ž�ĐƌŝŵĞ�ŶĆŽ�ĐŽŵƉĞŶƐĂ�Ͳ�ŽƵ�ŶĆŽ�ĚĞǀĞ�ĐŽŵƉĞŶƐĂƌ�
Ͳ͕�ƉŽƌ�ŽƵƚƌŽ�ůĂĚŽ͕�Ġ�ƌĞĐĞŶƚĞ�Ž�ƉƌŽĐĞƐƐŽ�ĚĞ�ƐŽĮƐƟĐĂĕĆŽ�ĚĂ�ƌĞĐŝĐůĂŐĞŵ�ƉĂ-
ƚƌŝŵŽŶŝĂů͘�EĂ� ŝŶƚĞƌĞƐƐĂŶƚĞ�ĚŝĐĕĆŽ�ĚĞ��D�K^7, a mentalidade reitora da 
ǀŝŐĞŶƚĞ�ƉŽůşƟĐĂ�ĐƌŝŵŝŶĂů�ƉƌĞƚĞŶĚĞ�ƋƵĞ�Ž�ĐƌŝŵŝŶŽƐŽ�ƐĞũĂ�ŽďƌŝŐĂĚŽ�Ă�ƉĞƌŵĂ-
ŶĞĐĞƌ�ƐĞŶƚĂĚŽ�Ğŵ�ƐĞƵ�ĐĂƉŝƚĂů�ƐƵũŽ͕�Ž�ƋƵĞ�ĚĞǀĞ�ƐĞ�ĚĂƌ͕ �ƐĞŐƵŶĚŽ�Ă�ĐŽŵƉůĞ-
ŵĞŶƚĂĕĆŽ�ĚĞ�DKZK8, até que o Estado lhe tome o assento.
3 WĞůĂ�ƉĞƌƟŶġŶĐŝĂ�ĚŽ�ƚƌĞĐŚŽ͕�ǀĂůĞ�Ă�ƚƌĂŶƐĐƌŝĕĆŽ͗�͞K�ƋƵĞ�ŝŶƚĞƌĞƐƐĂ�ƌĞƐƐĂůƚĂƌ�ŶĞƐƚĞ�ŵŽŵĞŶƚŽ�Ġ�ƚĆŽͲƐŽŵĞŶƚĞ�ƋƵĞ�ĞdžŝƐƚĞ͕�
ƐĞŐƵƌĂŵĞŶƚĞ͕�Ƶŵ�ĞƐƉĂĕŽ�ĚĞ�͚ĞdžƉĂŶƐĆŽ�ƌĂnjŽĄǀĞů͛�ĚŽ��ŝƌĞŝƚŽ�WĞŶĂů͕�ĂŝŶĚĂ�ƋƵĞ͕�ĐŽŵ�Ă�ŵĞƐŵĂ�ĐŽŶǀŝĐĕĆŽ�ƉƌſdžŝŵĂ�ĚĂ�
ĐĞƌƚĞnjĂ͕�ƐĞ�ĚĞǀĂ�ĂĮƌŵĂƌ�ƋƵĞ�ƚĂŵďĠŵ�ƐĞ�ĚĆŽ�ŝŵƉŽƌƚĂŶƚĞƐ�ŵĂŶŝĨĞƐƚĂĕƁĞƐ�ĚĂ�͚ĞdžƉĂŶƐĆŽ�ĚĞƐĂƌƌĂnjŽĂĚĂ͛͘ ���ơƚƵůŽ�ƉƵƌĂ-
ŵĞŶƚĞ�ŽƌŝĞŶƚĂƟǀŽ͗�Ă�ĞŶƚƌĂĚĂ�ŵĂĐŝĕĂ�ĚĞ�ĐĂƉŝƚĂŝƐ�ƉƌŽĐĞĚĞŶƚĞƐ�ĚĞ�ĂƟǀŝĚĂĚĞƐ�ĚĞůŝƟǀĂƐ�;ƐŝŶŐƵůĂƌŵĞŶƚĞ͕�ĚŽ�ŶĂƌĐŽƚƌĄĮĐŽͿ�
Ğŵ�Ƶŵ�ĚĞƚĞƌŵŝŶĂĚŽ�ƐĞƚŽƌ�ĚĞ�ĞĐŽŶŽŵŝĂ�ƉƌŽǀŽĐĂ�ƵŵĂ�ƉƌŽĨƵŶĚĂ�ĚĞƐĞƐƚĂďŝůŝnjĂĕĆŽ�ĚĞƐƐĞ�ƐĞƚŽƌ͕ �ĐŽŵ�ŝŵƉŽƌƚĂŶƚĞƐ�ƌĞ-
ƉĞƌĐƵƐƐƁĞƐ�ůĞƐŝǀĂƐ͘��͕�ƉŽŝƐ͕�ƉƌŽǀĂǀĞůŵĞŶƚĞ�ƌĂnjŽĄǀĞů�ƋƵĞ�ŽƐ�ƌĞƐƉŽŶƐĄǀĞŝƐ�ƉŽƌ�ƵŵĂ�ŝŶũĞĕĆŽ�ŵĂĐŝĕĂ�ĚĞ�ĚŝŶŚĞŝƌŽ�ŶĞŐƌŽ�
Ğŵ�Ƶŵ�ĚĞƚĞƌŵŝŶĂĚŽ�ƐĞƚŽƌ�ĚĂ�ĞĐŽŶŽŵŝĂ�ƐĞũĂŵ�ƐĂŶĐŝŽŶĂĚŽƐ�ƉĞŶĂůŵĞŶƚĞ�ƉĞůĂ�ĐŽŵŝƐƐĆŽ�ĚĞ�Ƶŵ�ĚĞůŝƚŽ�ĐŽŶƚƌĂ�Ă�ŽƌĚĞŵ�
ĞĐŽŶƀŵŝĐĂ͘�DĂƐ͕�ǀĞũĂŵŽƐ͕� ŝƐƐŽ�ŶĆŽ� ĨĂnj͕�ƉŽƌ�Ɛŝ� Ɛſ͕� ƌĂnjŽĄǀĞů�Ă�ƐĂŶĕĆŽ�ƉĞŶĂů�ĚĞ�ƋƵĂůƋƵĞƌ�ĐŽŶĚƵƚĂ�ĚĞ�ƵƟůŝnjĂĕĆŽ�ĚĞ�
ƉĞƋƵĞŶĂƐ�;ŽƵ�ŵĠĚŝĂƐͿ�ƋƵĂŶƟĚĂĚĞƐ�ĚĞ�ĚŝŶŚĞŝƌŽ�ŶĞŐƌŽ�ŶĂ�ĂƋƵŝƐŝĕĆŽ�ĚĞ�ďĞŶƐ�ŽƵ�ƌĞƚƌŝďƵŝĕĆŽ�ĚĞ�ƐĞƌǀŝĕŽƐ͘���ƟƉŝĮĐĂĕĆŽ�
ĚŽ�ĚĞůŝƚŽ�ĚĞ�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ�Ġ͕�ĞŶĮŵ͕�ƵŵĂ�ŵĂŶŝĨĞƐƚĂĕĆŽ�ĚĞ�ĞdžƉĂŶƐĆŽ�ƌĂnjŽĄǀĞů�ĚŽ��ŝƌĞŝƚŽ�WĞŶĂů�;Ğŵ�ƐĞƵ�ŶƷĐůĞŽ͕�
ĚĞ�ĂůĐĂŶĐĞ�ŵƵŝƚŽ�ůŝŵŝƚĂĚŽͿ�Ğ�ĚĞ�ĞdžƉĂŶƐĆŽ�ŝƌƌĂnjŽĄǀĞů�ĚŽ�ŵĞƐŵŽ�;ŶŽ�ƌĞƐƚŽ�ĚĂƐ�ĐŽŶĚƵƚĂƐ͕�Ğŵ�ƌĞůĂĕĆŽ�ĂƐ�ƋƵĂŝƐ�ŶĆŽ�ƐĞ�
ƉŽƐƐĂ�ĂĮƌŵĂƌ�Ğŵ�ĂďƐŽůƵƚŽ�ƋƵĞ͕�ĚĞ�ŵŽĚŽ�ĞƐƉĞĐşĮĐŽ͕�ůĞƐŝŽŶĞŵ�Ă�ŽƌĚĞŵ�ĞĐŽŶƀŵŝĐĂ�ĚĞ�ŵŽĚŽ�ƉĞŶĂůŵĞŶƚĞ�ƌĞůĞǀĂŶƚĞͿ͘͟ �
�Ĩ͘ �^/>s�Ͳ^�E�,�͕�:ĞƐƷƐͲDĂƌşĂ͕�KƉ͘�Đŝƚ., p. 28.
4 DKZK͕�^ĠƌŐŝŽ�&ĞƌŶĂŶĚŽ͘ Crime de lavagem de dinheiro. São Paulo: Saraiva, 2010, p. 16.
ϱ�'/KZ��E/͕�DĄƌŝŽ��ƵƌƟƐ͘�,ŝƐƚſƌŝĂ�ĚŽ��ŝƌĞŝƚŽ�WĞŶĂů�ĞŶƚƌĞ�ŽƐ�ƉŽǀŽƐ�ĂŶƟŐŽƐ�ĚŽ�ŽƌŝĞŶƚĞ�ƉƌſdžŝŵŽ. Rio de Janeiro: 
Lumen Juris, 2004, p. 12/17.
ϲ�EĞƐƚĞ�ƐĞŶƟĚŽ͗�D����K͕��ŵŝůĐĂƌ�&ĂŐƵŶĚĞƐ�&ƌĞŝƚĂƐ͘�ΗK�ĐƌŝŵĞ�ĚĞ�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ�ʹ�ĂůŐƵŵĂƐ�ƌĞŇĞdžƁĞƐ͘Η�Revista 
da AJURIS – Associação dos Juízes do Rio Grande do Sul.�WŽƌƚŽ��ůĞŐƌĞ͗��:hZ/^͕�ŵĂƌĕŽͬϮϬϬϴ͕�Ɖ͘�ϭϬ͘��
7 �D�K^͕�<Ăŝ͘�Lavagem de dinheiro e direito penal.�dƌĂĚ͘�WĂďůŽ�ZŽĚƌŝŐŽ��ůŇĞŶ�ĚĂ�^ ŝůǀĂ͘�WŽƌƚŽ��ůĞŐƌĞ͗�^ ĞƌŐŝŽ��ŶƚŽŶŝŽ�
Fabris, 2007, p. 63.
8 DKZK͕�^ĠƌŐŝŽ�&ĞƌŶĂŶĚŽ͘�KƉ͘�Đŝƚ., p. 16.
\R. EMERJ, Rio de Janeiro, v. 17, n. 64, p. 164- 186, jan. - abr. 2014\166
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ĚĞ�ŝŶĨƌĂĕĆŽ�ƉĞŶĂů͘�
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Al Capone ou ^ĐĂƌĨĂĐĞ͕�ƚĞƌ�ƵƟůŝnjĂĚŽ�ůĂǀĂŶĚĞƌŝĂƐ�ĚĞ�ƌŽƵƉĂƐ�Ğ�ĂƵƚŽŵſǀĞŝƐ�
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da Lei Seca nos EUA11.
ϵ�K�ƚĞdžƚŽ�ŝŶƚĞŐƌĂů�ĐŽŶƐƚĂ�ĚŽ�ƐĞŐƵŝŶƚĞ�ĞŶĚĞƌĞĕŽ�ĞůĞƚƌƀŶŝĐŽ͗�ŚƩƉƐ͗ͬͬǁǁǁ͘ĐŽĂĨ͘ ĨĂnjĞŶĚĂ͘ŐŽǀ͘ďƌ. Acesso em 21.06.2013.
ϭϬ�,Ą�ƋƵĞŵ�ƉƌŽƉŽŶŚĂ�Ă�ĚĞŶŽŵŝŶĂĕĆŽ�͞ůĂǀĂŐĞŵ�ĚĞ�ĂƟǀŽƐ͘͟ �EĞƐƚĞ�ƐĞŶƟĚŽ͗���>>�'�Z/͕��ŶĚƌĠ�>ƵşƐ͖�^ĐŚĞŝĚ͕��ĂƌůŽƐ�
�ĚƵĂƌĚŽ�Ğ��ŶĚƌĂĚĞ͕�ZŽďĞƌƚĂ�>ŽĨƌĂŶŽ͘�Η�ƌĞǀĞƐ�ĂŶŽƚĂĕƁĞƐ�ƐŽďƌĞ�Ă�ůĞŝ�ĚĞ�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ͘Η�In: Revista Brasileira 
de Ciências Criminais�Ŷ͘�ϵϮ͘�^ĆŽ�WĂƵůŽ͗�Zd͕ �ƐĞƚĞŵďƌŽͬϮϬϭϭ͕�Ɖ͘�Ϯϰϳ͘��ŵďŽƌĂ�ƐĞũĂ�ĐŽƌƌĞƚĂ�Ă�ĐƌşƟĐĂ�ĚŽƵƚƌŝŶĄƌŝĂ͕�ƐĞƌĆŽ�
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ĐƌŝŵŝŶŽƐĂƐ͘�EŽ�ĞŶƚĂŶƚŽ͕�ŶĆŽ�ƐŽŵŽƐ�ĂƉĞŶĂƐ�ŶſƐ͕�ĂƵƚŽƌŝĚĂĚĞƐ�ƉƷďůŝĐĂƐ͕�ƋƵĞ�ĂƉƌĞŶĚĞŵŽƐ�ĐŽŵ�Ă�ĞdžƉĞƌŝġŶĐŝĂ͘�K�ĐƌŝŵĞ�
ŽƌŐĂŶŝnjĂĚŽ�ƚĂŵďĠŵ�ĂƉƌĞŶĚĞ�ƐƵĂ�ůŝĕĆŽ�Ğ�ƐĂďĞ�ƋƵĞ�Ġ�ƉƌĞĐŝƐŽ�ŽĐƵůƚĂƌ͕ �ĐĂĚĂ�ǀĞnj�ŵĞůŚŽƌ͕ �ŽƐ�ƌĞŶĚŝŵĞŶƚŽƐ�ŽďƟĚŽƐ�ĐŽŵ�
\R. EMERJ, Rio de Janeiro, v. 17, n. 64, p. 164- 186, jan. - abr. 2014\ 167
No interessante relato de MORRIS12�ĐŽŶƐƚĂ�ƋƵĞ�ŽƐ�ĂŐĞŶƚĞƐ�ƉƷďůŝ-
cos responsáveis pela captura de Capone não eram policiais fortemente 
ĂƌŵĂĚŽƐ͕�ĐŽŶĨŽƌŵĞ�ƌĞƚƌĂƚĂĚŽ�ŶŽ�ƉƌĞŵŝĂĚĂ�ƉƌŽĚƵĕĆŽ�ŚŽůůLJǁŽŽĚŝĂŶĂ�ŝŶ-
ƟƚƵůĂĚĂ�Os Intocáveis͕�ŵĂƐ�Ɛŝŵ�ĐŽŶƚĂĚŽƌĞƐ�ĚĂ�ĂŐġŶĐŝĂ�ĚĞ�ƚƌŝďƵƚŽƐ�ĚŽƐ�
�h�� ;ĂƚƵĂůŵĞŶƚĞ� ^ĞĐƌĞƚĂƌŝĂ�ĚĂ�ZĞĐĞŝƚĂ� &ĞĚĞƌĂůͿ͕� ĞŶƚĆŽ� ĐŚĞĮĂĚŽƐ�ƉĞůŽ�
ĞĐŽŶŽŵŝƐƚĂ��ůŝŽƚ�EĞƐƐ͘��ƐƚĞ�ĚĂĚŽ�ĞŶĨĂƟnjĂ�Ă�ƌĞĂůŝĚĂĚĞ�ơƉŝĐĂ�ĚĞ�ƵŵĂ�Đƌŝ-
ŵŝŶĂůŝĚĂĚĞ�ŝŶƚĞůŝŐĞŶƚĞ͕�ƌĞƋƵŝŶƚĂĚĂ�Ğ�ƋƵĞ�ĨŽŐĞ�ĚŽ�ĞƐƚĞƌĞſƟƉŽ�ƉƌĞĚŽŵŝ-
nantemente violento ao qual o sistema penal está acostumado. Tanto 
é assim que o insucesso de Capone no encobrimento da raiz criminosa 
ĚĞ�ƐƵĂ�ƌĞŶĚĂ�ĞƐƟŵƵůŽƵ�ŽƵƚƌŽƐ�ĐƌŝŵŝŶŽƐŽƐ�Ă�ĐŽŶƚƌĂƚĂƌĞŵ�ƉƌŽĮƐƐŝŽŶĂŝƐ�
ĚŽ� ĐĂŵƉŽ� ũƵƌşĚŝĐŽͲĮŶĂŶĐĞŝƌŽ� ǀŝƐĂŶĚŽ�ă� ĐƌŝĂĕĆŽ�ĚĞ�ŵĠƚŽĚŽƐ�ƋƵĞ�ŽƐ� ůŝ-
ǀƌĂƐƐĞŵ�ĚŽ�ŵĞƐŵŽ�ĚĞƐƟŶŽ͕�Ž�ƋƵĞ�ĚĞƵ�ŽƌŝŐĞŵ͕�ƉŽƌ�ĞdžĞŵƉůŽ͕�ă�ŝĚĞŝĂ�ĚĞ�
ŝŶǀĞƐƟŵĞŶƚŽ�Ğŵ�ĐĂƐƐŝŶŽƐ�ĚĞ�>ĂƐ�sĞŐĂƐ�Ğ��ƵďĂ͘�
/ŶŝĐŝĂͲƐĞ͕�ĞŶƚĆŽ͕�Ă�ƚĞŶĚġŶĐŝĂ�ĚĞ�ƚĞƌĐĞŝƌŝnjĂĕĆŽ�Ğ�ĞƐƉĞĐŝĂůŝnjĂĕĆŽ�ĚĂ�ůĂ-
ǀĂŐĞŵ�ĨĂnjĞŶĚŽ�ĐŽŵ�ƋƵĞ͕�Ă�ĐĂĚĂ�ĂĕĆŽ�ƌĞƉƌĞƐƐŝǀĂ�ĚĂƐ�ĂƵƚŽƌŝĚĂĚĞƐ�ĞƐƚĂƚĂŝƐ͕�
ŶŽǀĂƐ�ŵĞƚĂŵŽƌĨŽƐĞƐ�ƐĞũĂŵ�ŶŽƚĂĚĂƐ�ŶŽ�ƚŽĐĂŶƚĞ�ĂŽ�ĂƉĞƌĨĞŝĕŽĂŵĞŶƚŽ�ƚĠĐ-
ŶŝĐŽ�Ğ�ĞdžƉĂŶƐĆŽ�ŵĞƌĐĂĚŽůſŐŝĐĂ�ĚĂ�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ͘��ƐƚƵĚŽƐ�ƌĞĐĞŶƚĞƐ�
ĂƉŽŶƚĂŵ͕�ƉŽƌ�ĞdžĞŵƉůŽ͕�ƋƵĞ͕�ƐŽďƌĞƚƵĚŽ�ŶĂ�/ƚĄůŝĂ�Ğ�ŶĂ�/ŶŐůĂƚĞƌƌĂ͕�ĐůƵďĞƐ�ĚĞ�
ĨƵƚĞďŽů�ǀġŵ�ƐĞƌǀŝŶĚŽ�ĐŽŵŽ�ǀĞşĐƵůŽƐ�ƉĂƌĂ�ƌĞĐŝĐůĂŐĞŵ�ĚĞ�ƌĞĐƵƌƐŽƐ�ŝůşĐŝƚŽƐ13. 
dĂůǀĞnj�ƉŽƌ�ŵĞƌĂ�ĐŽŝŶĐŝĚġŶĐŝĂ�;ƚĂůǀĞnj�ŶĆŽͿ͕�ĐůƵďĞƐ�ďƌĂƐŝůĞŝƌŽƐ�ƌĞŵĞƚĞƌĂŵ͕�
entre os anos de 2002 e 2012, cerca de cento e noventa milhões de dóla-
ƌĞƐ�ƉĂƌĂ�ƉĂşƐĞƐ�ĐŽŶƐŝĚĞƌĂĚŽƐ�ƉĂƌĂşƐŽƐ�ĮƐĐĂŝƐ�;ĚĞŶƚƌĞ�ĞůĞƐ͕�/ůŚĂƐ�sŝƌŐĞŶƐ�Ğ�
�ĂŚĂŵĂƐͿ�Ğŵ�ŶĞŐŽĐŝĂĕƁĞƐ�ĚĞ�ĚŝƌĞŝƚŽƐ�ĨĞĚĞƌĂƟǀŽƐ�ƐŽďƌĞ�ĂƚůĞƚĂƐ14. 
WŽƌ�ƚŽĚĂƐ�ĂƐ�ǀŝĐŝƐƐŝƚƵĚĞƐ�ĚĞŵŽŶƐƚƌĂĚĂƐ͕�Ă�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ�ƚĞŵ�
ƐĞ�ĚĞƐĞŶŚĂĚŽ�ĐŽŵŽ�ǀŝǀĂ�ĞdžƉƌĞƐƐĆŽ�ĚĞ�ƚĞŽƌŝĂ�ĐƌŝŵŝŶŽůſŐŝĐĂ�ĚĂ�ĂƉƌĞŶĚŝnjĂ-
ŐĞŵ�ƐŽĐŝĂů͕� ƚĂŵďĠŵ�ĚĞŶŽŵŝŶĂĚĂ�ĂƐƐŽĐŝĂĕĆŽ�ĚŝĨĞƌĞŶĐŝĂů15, o que importa 
Ă�ƉƌĄƟĐĂ�ĚĞ�ĚĞůŝƚŽƐ͘��ƐƐĂ�ƌĞĂůŝĚĂĚĞ�ĞdžŝŐĞ�ĚĞ�ŶſƐ�Ă�ĂƚƵĂůŝnjĂĕĆŽ�ƉĞƌŵĂŶĞŶƚĞ͘͟ ��Ĩ͘ �&ZK^^�Z�͕��ĞŶŝƐĞ͘�Η��>ĂǀĂŐĞŵ�ĚĞ�
�ŝŶŚĞŝƌŽ�Ğ�Ă�>Ğŝ��ƌĂƐŝůĞŝƌĂΗ. In: Revista de Direito Penal�Ŷ͘�Ϭϭ͘�WŽƌƚŽ��ůĞŐƌĞ͗��ĚŝƚŽƌĂ�DĂŐŝƐƚĞƌ͕ �ĂŐŽƐƚŽͬϮϬϬϰ͕�Ɖ͘�ϯϬ͘
ϭϮ�DKZZ/^͕�^ƚĂŶůĞLJ��͘�Η�ĕƁĞƐ�ĚĞ�ĐŽŵďĂƚĞ�ă�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ�Ğŵ�ŽƵƚƌŽƐ�ʹ�ĞdžƉĞƌŝġŶĐŝĂ�ĂŵĞƌŝĐĂŶĂΗ͘�In: Anais do 
Seminário Internacional sobre Lavagem de Dinheiro͘�s͘ �ϭϳ͘��ƌĂƐşůŝĂ͗��ĞŶƚƌŽ�ĚĞ��ƐƚƵĚŽƐ�:ƵĚŝĐŝĄƌŝŽƐ�ĚŽ��ŽŶƐĞůŚŽ�ĚĂ�
:ƵƐƟĕĂ�&ĞĚĞƌĂů͕�ϮϬϬϬ͕�Ɖ͘�ϯϳ͘
ϭϯ�EĞƐƚĞ�ƐĞŶƟĚŽ͗�'Z��Z͕��ŚĂƌůŝĞ͘"Money laudering in football."�dĞdžƚŽ�Ğŵ�ŝĚŝŽŵĂ�ŝŶŐůġƐ�ĚŝƐƉŽŶşǀĞů�Ğŵ͗�ŚƩƉ͗ͬͬǁǁǁ͘
ƉƌŽdžŝŵĂůĐŽŶƐƵůƟŶŐ͘ĐŽŵͬ. Acesso em 01.05.2013. 
ϭϰ��ŽŶĨŽƌŵĞ�ŵĂƚĠƌŝĂ�ƉƵďůŝĐĂĚĂ͕�ŶŽ�ĚŝĂ�ϭϰ͘Ϭϳ͘ϮϬϭϯ͕�ƉĞůŽ�ũŽƌŶĂů�Folha de São Paulo (p. D1) baseada em dados do 
Banco Central. Também alertando sobre o tema:����^�E�d/^͕�&ĂƵƐƚŽ�DĂƌƟŶ͘�Lavagem de dinheiro: jogos de azar e 
ĨƵƚĞďŽů�ʹ�ĂŶĄůŝƐĞ�Ğ�ƉƌŽƉŽƐŝĕƁĞƐ͘��ƵƌŝƟďĂ͗�:ƵƌƵĄ͕�ϮϬϭϬ͘
ϭϱ�EĞƐƚĞ�ƐĞŶƟĚŽ͗�'KD�^͕�>Ƶŝnj�&ůĄǀŝŽ͘�Η^ŽďƌĞ�Ă�ŝŵƉƵŶŝĚĂĚĞ�ĚĂ�ŵĂĐƌŽͲĚĞůŝŶƋƵġŶĐŝĂ�ĞĐŽŶƀŵŝĐĂ�ĚĞƐĚĞ�Ă�ƉĞƌƐƉĞĐƟǀĂ�
ĐƌŝŵŝŶŽůſŐŝĐĂ�ĚĂ�ƚĞŽƌŝĂ�ĚĂ�ĂƉƌĞŶĚŝnjĂŐĞŵ͘Η In Revista Brasileira de Ciências Criminais.��ŶŽ�ϯ͘�EƷŵĞƌŽ�ϭϭ͘�^ĆŽ�WĂƵůŽ͗�
�ĚŝƚŽƌĂ�ZĞǀŝƐƚĂ�ĚŽƐ�dƌŝďƵŶĂŝƐ͕�ũƵůŚŽͲƐĞƚĞŵďƌŽ�ĚĞ�ϭϵϵϱ͕�Ɖ͘�ϭϳϮ͘���ƚĞŽƌŝĂ�ĚĂ�ĂƐƐŽĐŝĂĕĆŽ�ĚŝĨĞƌĞŶĐŝĂů�ŽƵ�ĚĂ�ĂƉƌĞŶĚŝnjĂŐĞŵ�
ƐŽĐŝĂů�ĨŽŝ�ǀŝƐůƵŵďƌĂĚĂ�ƉŽƌ��ĚǁŝŶ�,͘�^ƵƚŚĞƌůĂŶĚ�ŶĂ�ĚĠĐĂĚĂ�ĚĞ�ϯϬ�Ğ�ƉƌĞŐĂ�ƋƵĞ�Ă�ĂƚƵĂĕĆŽ�ĐƌŝŵŝŶŽƐĂ�Ġ�ĚŝĨƵŶĚŝĚĂ�ƉŽƌ�
ŵĞŝŽ�ĚĞ�Ƶŵ�ƉƌŽĐĞƐƐŽ�ĚĞ�ĐŽŶǀŝǀġŶĐŝĂ�Ğ�ĐŽŵƵŶŝĐĂĕĆŽ�ĚĞŶŽŵŝŶĂĚŽ� ŝŶƚĞƌĂĐŝŽŶŝƐŵŽ�ƐŝŵďſůŝĐŽ͘��ƐƐŝŵ͕�Ă�ǀĞƌĚĂĚĞŝƌĂ�
ŽƌŝŐĞŵ�ĚĂ�ĚĞůŝŶƋƵġŶĐŝĂ�ĞĐŽŶƀŵŝĐĂ�ŵŽĚĞƌŶĂ�ĞƐƚĂƌŝĂ�ůŝŐĂĚĂ�ă�ƚƌĂŶƐŵŝƐƐĆŽ�ĚĞ�ŝŶĨŽƌŵĂĕƁĞƐ͕�ƌĂĐŝŽŶĂůŝnjĂĕƁĞƐ�Ğ�ŵŽƟǀŽƐ�
\R. EMERJ, Rio de Janeiro, v. 17, n. 64, p. 164- 186, jan. - abr. 2014\168
eŵ�ƌĞĂĮƌŵĂƌ�Ž�ĞƋƵşǀŽĐŽ�ĚĞ�ŶĆŽ�ƐĞ�ĞŶdžĞƌŐĂƌ�ƋƵĞ�ŽƌŐĂŶŝnjĂĕƁĞƐ�ĐƌŝŵŝŶŽƐĂƐ�
ƚġŵ�ƟƌĂĚŽ�ůŝĕƁĞƐ�ĚĞ�ƐƵĂƐ�ƉƌſƉƌŝĂƐ�ĨĂůŚĂƐ�ĚĞ�ŵŽĚŽ�Ă�ĞƐƚĂƌĞŵ�ƐĞŵƉƌĞ�Ƶŵ�
ƉĂƐƐŽ�ă�ĨƌĞŶƚĞ�ĚŽ��ƐƚĂĚŽ͕�ƚĂƌĞĨĂ�ŶĂ�ƋƵĂů͕�ŝŶĨĞůŝnjŵĞŶƚĞ͕�ƚġŵ�ůŽŐƌĂĚŽ�ġdžŝƚŽ͘
K�ŵĂƌĐŽ�ŶŽƌŵĂƟǀŽ� ŝŶƚĞƌŶĂĐŝŽŶĂů�ĂĐĞƌĐĂ�ĚĂ� ŝŶĐƌŝŵŝŶĂĕĆŽ�ĚĂ� ůĂǀĂ-
ŐĞŵ�ĚĞ�ĐĂƉŝƚĂŝƐ�ƐŽŵĞŶƚĞ�ĂĚǀĞŝŽ�Ğŵ�ϮϬ͘ϭϮ͘ϭϵϴϴ16͕� ĐŽŵ�Ă�ĐĞůĞďƌĂĕĆŽ�ĚĂ�
�ŽŶǀĞŶĕĆŽ�ĚĞ�sŝĞŶĂ�ĐŽŶƚƌĂ�Ž�dƌĄĮĐŽ�/ůşĐŝƚŽ�ĚĞ��ŶƚŽƌƉĞĐĞŶƚĞƐ17, na qual se 
ĚĞƚĞƌŵŝŶŽƵ�;Ăƌƚ͘�ϯͿ�ĂŽƐ��ƐƚĂĚŽƐ�ƐŝŐŶĂƚĄƌŝŽƐ�Ă�ƟƉŝĮĐĂĕĆŽ�ƉĞŶĂů�ĚĂ�ĚŝƐƐŝŵƵ-
ůĂĕĆŽ�ĚĞ�ďĞŶƐ�ŽƌŝƵŶĚŽƐ�ĚĂ�ĞdžƉůŽƌĂĕĆŽ�ĚŽ�ŶĂƌĐŽƚƌĄĮĐŽ͕�Ž�ƋƵĞ�Ġ�ĐŽŵƉƌĞĞŶ-
ƐşǀĞů͕�ŚĂũĂ�ǀŝƐƚĂ�ƐĞƌ�ĞƐƚĞ͕�ĂŝŶĚĂ�ŚŽũĞ͕�Ž�ĚĞůŝƚŽ�ŵĂŝƐ�ůƵĐƌĂƟǀŽ�ƋƵĞ�ƐĞ�ĐŽŶŚĞ-
ce18͘��ƐƐŝŵ͕� ƌĞĐŽŶŚĞĐŝĚĂ�Ă� ŝŶĚĞƉĞŶĚġŶĐŝĂ�ĚŽ� ŝŶƚĞƌĞƐƐĞ� ũƵƌşĚŝĐŽ�ƚƵƚĞůĂĚŽ�
ƉŽƌ�ŵĞŝŽ�ĚĂ� ŝŶĐƌŝŵŝŶĂĕĆŽ�ĚĂ� ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ�Ğŵ�ƌĞůĂĕĆŽ�ĂŽ�ĚĞůŝƚŽ�
antecedente19, os ordenamentos nacionais passaram a incriminar a lava-
ŐĞŵ�ĚĞ�ĐĂƉŝƚĂŝƐ�Ğ�ŶĆŽ�ŵĂŝƐ�ĐŽŶƐŝĚĞƌĄͲůĂ�ĐŽŵŽ�ŵĞƌĂ�ĨĂƐĞ�ĚĞ�ĞdžĂƵƌŝŵĞŶƚŽ�
do crime antecedente.
WĂƌĂůĞůĂŵĞŶƚĞ͕�ĨŽƌĂŵ�ĞŶǀŝĚĂĚŽƐ�ĞƐĨŽƌĕŽƐ�ŶŽ�ƐĞŶƟĚŽ�ĚĞ�ĐƌŝĂƌ�ĞŶƟ-
ĚĂĚĞƐ�Ğ� ŝŶƐƚƌƵŵĞŶƚŽƐ� ŝŶƚĞƌŶĂĐŝŽŶĂŝƐ� ĂŶƟůĂǀĂŐĞŵ͕�ĚĞƐƚĂĐĂŶĚŽͲƐĞ͕� ŶĞƐƚĞ�
ƉĂƌƟĐƵůĂƌ͕ �Ă�ĐƌŝĂĕĆŽ�ĚŽ�'�&/�ʹ�'ƌƵƉŽ�ĚĞ��ĕĆŽ�&ŝŶĂŶĐĞŝƌĂ� /ŶƚĞƌŶĂĐŝŽŶĂů͕�
ŽƌŐĂŶŝƐŵŽ�ŝŶƚĞƌŐŽǀĞƌŶĂŵĞŶƚĂů�ĐƌŝĂĚŽ�Ğŵ�ĚĞnjĞŵďƌŽ�ĚĞ�ϭϵϵϴ�Ğ�ƋƵĞ�ƚĞŵ�
Ž�ŽďũĞƟǀŽ�ĚĞ�ĐŽůŚĞƌ�ĚĂĚŽƐ�Ğ�ĞĚŝƚĂƌ�ƌĞĐŽŵĞŶĚĂĕƁĞƐ20 sobre medidas de 
favoráveis ao caminho criminoso. Em suma, o crime não seria um fato hereditário, fortuito ou irracional: o crime 
ƐĞ�ĂƉƌĞŶĚĞ�Ğ�Ă�ƚƌĂŶƐŵŝƐƐĆŽ�ĚĞƐƚĞ�ĞŶƐŝŶĂŵĞŶƚŽ�ƉƌŽǀŽĐĂ�ƵŵĂ�ƌĞĂĕĆŽ�Ğŵ�ĐĂĚĞŝĂ�;ĞĨĞŝƚŽ�ƌĞƐƐĂĐĂ�ŽƵ�ĞƐƉŝƌĂůͿ͘�^ŽďƌĞ�
o tema: SERRANO MAÍLLO, Alfonso. Introdução à Criminologia.�ϭĂ�ĞĚ͘�dƌĂĚ͘�>Ƶŝnj�ZĞŐŝƐ�WƌĂĚŽ͘�^ĆŽ�WĂƵůŽ͗��ĚŝƚŽƌĂ�
Revista dos Tribunais, 2007, p. 202; GARCÍA-PABLOS DE MOLINA, Antonio e GOMES, Luiz Flávio. Criminologia. 5ª. 
ĞĚ͘�^ĆŽ�WĂƵůŽ͗�ZĞǀŝƐƚĂ�ĚŽƐ�dƌŝďƵŶĂŝƐ͕�ϮϬϬϲ͕�Ɖ͘�Ϯϳϱ�Ğ�,�^^�D�Z͕�tŝŶĨƌŝĞĚ�Ğ�DhHK��KE��͕�&ƌĂŶĐŝƐĐŽ͘ Introdução à 
criminologia.�dƌĂĚ͘��şŶƟĂ�dŽůĞĚŽ�DŝƌĂŶĚĂ��ŚĂǀĞƐ͘�ZŝŽ�ĚĞ�:ĂŶĞŝƌŽ͗�>ƵŵĞŶ�:ƵƌŝƐ͕�ϮϬϬϴ͕�Ɖ͘�ϲϬ͘
ϭϲ���/ƚĄůŝĂ�ĨŽŝ�Ž�ƉƌŝŵĞŝƌŽ�ƉĂşƐ�Ă�ĐƌŝŵŝŶĂůŝnjĂƌ�Ă�ůĂǀĂŐĞŵ�ĚĞ�ĐĂƉŝƚĂŝƐ͕�Ž�ƋƵĞ�ƐĞ�ĚĞƵ�Ğŵ�ϭϵϳϴ͘�KƐ��h��Ž�ĮnjĞƌĂŵ�Ğŵ�ϭϵϴϲ͕�
ƉŽƌ�ŵĞŝŽ�ĚĂ�ĞĚŝĕĆŽ�ĚŽ�Money Laudering Control Act.
ϭϳ�EŽ��ƌĂƐŝů͕�Ž��ĞĐƌĞƚŽ�Ŷ͘�ϭϱϰ͕�ĚĞ�Ϯϲ͘Ϭϲ͘ϭϵϵϭ͕�ƉƌŽŵƵůŐŽƵ�Ă��ŽŶǀĞŶĕĆŽ�ĚĞ�sŝĞŶĂ�ĐŽŶƚƌĂ�Ž�dƌĄĮĐŽ�/ůşĐŝƚŽ�ĚĞ��ŶƚŽƌƉĞ-
centes e Substâncias Psicotrópicas.
ϭϴ����ŽŶĨĞƌġŶĐŝĂ�ĚĂƐ�EĂĕƁĞƐ�hŶŝĚĂƐ�ƐŽďƌĞ�Ž�ĐƌŝŵĞ�ŽƌŐĂŶŝnjĂĚŽ�ŐůŽďĂů�ĚĞ�ϭϵϵϰ�ĞƐƟŵŽƵ�ƋƵĞ�Ž�ƚƌĄĮĐŽ�ŵƵŶĚŝĂů�ĚĞ�
ĚƌŽŐĂƐ�ĂƵĨĞƌŝĂ�Ğŵ�ƚŽƌŶŽ�ĚĞ�ϱϬϬ�ŵŝůŚƁĞƐ�ĚĞ�ĚſůĂƌĞƐ�ĂŶƵĂůŵĞŶƚĞ͕�ŽƵ�ƐĞũĂ͕�Ƶŵ�ǀŽůƵŵĞ�ůƵĐƌĂƟǀŽ�ŵĂŝŽƌ�ƋƵĞ�Ž�ĚŽ�ĐŽ-
mércio mundial de petróleo. Cf.�jH/'��ZK�Z1'h�͕�>ĂƵƌĂ͘�Criminalidad organizada y sistema de derecho penal: 
contribuición a la determinación del injusto penal de organización criminal. Granada: Editorial Comares, 2009, p. 3. 
ϭϵ��ŵďŽƌĂ�ŚĂũĂ�ĚŝǀĞƌŐġŶĐŝĂ�ƋƵĂŶƚŽ�ĂŽ�ŝŶƚĞƌĞƐƐĞ�ũƵƌşĚŝĐŽ�ƚƵƚĞůĂĚŽ�ƉŽƌ�ŵĞŝŽ�ĚĂ�ŝŶĐƌŝŵŝŶĂĕĆŽ�ĚĂ�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ͕�
ƌĞĐŽŶŚĞĐĞͲƐĞ�ŵĂĐŝĕĂŵĞŶƚĞ�Ă�ĂƵƚŽŶŽŵŝĂ�ĚĞƐƚĞ�Ğŵ�ƌĞůĂĕĆŽ�ĂŽ�ĐƌŝŵĞ�ĂŶƚĞĐĞĚĞŶƚĞ�Ğ͕�ƉŽƌ�ĐŽŶƐĞŐƵŝŶƚĞ͕�Ă�ŶĆŽ�ĂƉůŝĐĂ-
ĕĆŽ�ĚŽ�ƉƌŝŶĐşƉŝŽ�ĚĂ�ĐŽŶƐƵŶĕĆŽ�ă�ŚŝƉſƚĞƐĞ�Ğ�Ž�ŶĆŽ�ĐĂďŝŵĞŶƚŽ�ĚĂ�ĂůĞŐĂĕĆŽ�ĚĞ�ĚƵƉůĂ�ƉƵŶŝĕĆŽ�ƉĞůŽ�ŵĞƐŵŽ�ĨĂƚŽ�;bis 
in idemͿ͘� EĞƐƚĞ� ƐĞŶƟĚŽ͗� ��>>�'�Z/͕� �ŶĚƌĠ� >ƵşƐ͖� ^�,�/�͕� �ĂƌůŽƐ� �ĚƵĂƌĚŽ� Ğ��E�Z���͕� ZŽďĞƌƚĂ� >ŽĨƌĂŶŽ͘� Η�ƌĞǀĞƐ�
ĂŶŽƚĂĕƁĞƐ�ƐŽďƌĞ�Ă� ůĞŝ�ĚĞ� ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ͘Η� In: Revista Brasileira de Ciências Criminais n. 92. São Paulo: RT, 
ƐĞƚĞŵďƌŽͬϮϬϭϭ͕�Ɖ͘�Ϯϰϰ͘��ZĞŐŝƐƚƌĞͲƐĞ͕�ƉŽƌĠŵ͕�ƋƵĞ�'Z��K�&/>,K�ĚĞĨĞŶĚĞ�ŝƐŽůĂĚĂŵĞŶƚĞ�ƋƵĞ�Ž�ĐƌŝŵĞ�ĚĞ�ůĂǀĂŐĞŵ�ĚĞ�
ĚŝŶŚĞŝƌŽ�ŶĆŽ�ƚĞŵ�ĂƵƚŽŶŽŵŝĂ͕�ĞŝƐ�ƋƵĞ�ƚƵƚĞůĂƌŝĂ�ĞdžĐůƵƐŝǀĂŵĞŶƚĞ�Ƶŵ�ďĞŵ�ũƵƌşĚŝĐŽ�͞ƐĂƚĠůŝƚĞ͟�ŽƵ�͞ƉĞƌŝĨĠƌŝĐŽ͟�ũĄ�ƉƌŽƚĞ-
ŐŝĚŽ�ƉĞůŽ�ĐƌŝŵĞ�ĂŶƚĞĐĞĚĞŶƚĞ͘�EĞƐƚĞ�ƐĞŶƟĚŽ͗�&/>,K͕�sŝĐĞŶƚĞ�'ƌĞĐŽ͘�ΗdŝƉŝĐŝĚĂĚĞ͕�ďĞŵ�ũƵƌşĚŝĐŽ�Ğ�ůĂǀĂŐĞŵ�ĚĞ�ǀĂůŽƌĞƐ͘�
�ŝƌĞŝƚŽ�ƉĞŶĂů�ĞƐƉĞĐŝĂů͕�ƉƌŽĐĞƐƐŽ�ƉĞŶĂů�Ğ�ĚŝƌĞŝƚŽƐ�ĨƵŶĚĂŵĞŶƚĂŝƐΗ. In: Direito Penal Especial, Processo Penal e Direitos 
Fundamentais – Visão Luso Brasileira. Coord. José de Faria & Silva e Marco Antonio Marques da Costa. São Paulo: 
YƵĂƌƟĞƌ�>ĂƟŶ͕�ϮϬϬϲ͕�Ɖ͘�ϰϱϰ͘
ϮϬ��Ɛ�ϰϬ�ƌĞĐŽŵĞŶĚĂĕƁĞƐ�ĚŽ�'�&/�ĨŽƌĂŵ�ƉƌŽůĂƚĂĚĂƐ�Ğŵ�ϭϵϵϬ�Ğ�ƌĞǀŝƐƚĂƐ�ƉĞůĂ�ƉƌŝŵĞŝƌĂ�ǀĞnj�Ğŵ�ϭϵϵϲ͘�EĞƐƚĂ�ƷůƟŵĂ�
ǀĞƌƐĆŽ͕�ĨŽƌĂŵ�ĂĚŽƚĂĚĂƐ�ƉŽƌ�ŵĂŝƐ�ĚĞ�ϭϯϬ�ƉĂşƐĞƐ͕�ƉĂƐƐĂŶĚŽ�Ă�ĐŽŶƐƟƚƵŝƌ�Ž�ƉĂĚƌĆŽ�ŝŶƚĞƌŶĂĐŝŽŶĂů�ĚĞ�ĐŽŵďĂƚĞ�ă�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ͘��ƐƚĞ�ŚŝƐƚſƌŝĐŽ�Ğ�Ž�ƚĞŽƌ�ĚĞ�ƚŽĚĂƐ�ĂƐ�ƌĞĐŽŵĞŶĚĂĕƁĞƐ�ŵĞŶĐŝŽŶĂĚĂƐ�ĞŶĐŽŶƚƌĂŵͲƐĞ�ĚŝƐƉŽŶşǀĞŝƐ͕�Ğŵ�ŝĚŝŽŵĂ�
ŝŶŐůġƐ͕�ŶŽ�ƐĞŐƵŝŶƚĞ�ĞŶĚĞƌĞĕŽ�ĞůĞƚƌƀŶŝĐŽ͗�ŚƩƉ͗ͬͬǁǁǁ͘ĨĂƞͲŐĂĮ͘ŽƌŐ. Acesso em 05.01.2013.
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mente, o ciclo histórico denota que, no passado, os piratas medievais teriam escondido naquelas ilhas seus tesouros 
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;ƚĂŵďĠŵ�ĚŽ�ƉŽŶƚŽ�ĚĞ�ǀŝƐƚĂ�ũƵƌşĚŝĐŽͲƉƌŽĐĞƐƐƵĂůͿ͕�ĂŝŶĚĂ�ƋƵĞ�ĞƐƚĞƐ�ƷůƟŵŽƐ�
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ĂĨĞƚĞŵ�Ă�Ƶŵ�ŶƷŵĞƌŽ�ŵĂŝŽƌ�ĚĞůĞƐ͘�>ŽŐŽ͕�Ž��ŝƌĞŝƚŽ�WĞŶĂů�ŶĆŽ�ƉŽĚĞ�ƐĞ�ĨƵƌƚĂƌ�
ĂŽ�ĐƵŵƉƌŝŵĞŶƚŽ�ĚĞ�ƐƵĂ�ŵŝƐƐĆŽ�ĨƵŶĚĂŵĞŶƚĂů�ĐŽŶĐĞƌŶĞŶƚĞ�ă�ƉƌŽƚĞĕĆŽ�ĚŽƐ�
ďĞŶƐ� ũƵƌşĚŝĐŽƐ�ŵĂŝƐ� ŝŵƉŽƌƚĂŶƚĞƐ� ƉĂƌĂ� Ă� ƐŽĐŝĞĚĂĚĞ�ĚĞ� ƐƵĂ� ĠƉŽĐĂ͘�EĞƐƚĞ�
ĂƐƉĞĐƚŽ͕�ƉĂƌĂ�ĂůĠŵ�ĚĂ�ůŝďĞƌĚĂĚĞ�Ğ�ĚŽ�ƉĂƚƌŝŵƀŶŝŽ�ŵĞƌĂŵĞŶƚĞ�ŝŶĚŝǀŝĚƵĂů͕�Ž�
ŽƌĚĞŶĂŵĞŶƚŽ�ƉĞŶĂů�ĚĞǀĞ�ƉƌŽƚĞŐĞƌ�ƚĂŵďĠŵ�ĂƐ�ĐŝƌĐƵŶƐƚąŶĐŝĂƐ�ĞĐŽŶƀŵŝĐŽ-
ͲƐŽĐŝĂŝƐ�ŶĞĐĞƐƐĄƌŝĂƐ�ă�ĐŽŶǀŝǀġŶĐŝĂ�ƉĂĐşĮĐĂ�Ğ�ĂŽ�ĚĞƐĞŶǀŽůǀŝŵĞŶƚŽ�ĚĂ�ĐŝĚĂ-
ĚĂŶŝĂ͕�ďĞŵ�ĐŽŵŽ�Ž�ĨƵŶĐŝŽŶĂŵĞŶƚŽ�ĚŽ�ĂƉĂƌĂƚŽ�ĞƐƚĂƚĂů�ĚĞƐƟŶĂĚŽ�ĂŽ�ĂƚĞŶ-
ĚŝŵĞŶƚŽ�ĚĞƐƚĞƐ�ŽďũĞƟǀŽƐ͘
^Žď�ƌŝƐĐŽ�ĚĞ�ŝŶũƵƐƟĮĐĄǀĞů�ƵĐƌŽŶŝƐŵŽ23͕�ũĄ�ŶĆŽ�ƐĞ�ŵŽƐƚƌĂ�ǀŝĄǀĞů�Ă�ĐĞŶ-
ƚƌĂůŝnjĂĕĆŽ�ĚŽ�ĚĞďĂƚĞ�ũƵƌşĚŝĐŽͲƉĞŶĂů�ŶĂ�ĐƌŝŵŝŶĂůŝĚĂĚĞ�ĚĂƐ�ƌƵĂƐ�;ƉĂƚƌŝŵŽŶŝĂů�
Ğ�ǀŝŽůĞŶƚĂͿ͕�ĐŽŵ�ƐĞƵƐ�ŵĠƚŽĚŽƐ�ĞdžƉůşĐŝƚŽƐ͕�ĂůĠŵ�ĚĞ�ĂƵƚŽƌĞƐ�Ğ�ǀşƟŵĂƐ�ďĞŵ�
ŝĚĞŶƟĮĐĂĚŽƐ� ŝŶĚŝǀŝĚƵĂůŵĞŶƚĞ͘�,Ą�ƋƵĞ� ƐĞ�ĂƚĞŶƚĂƌ�ƉĂƌĂ�Ž� ĨĂƚŽ�ĚĞ�ƋƵĞ�ĂƐ�
mais fortes expressões da macrocriminalidade moderna (v.g͗͘�ƚƌĄĮĐŽ�ĚĞ�
ĂƌŵĂƐ͕� ƉĞƐƐŽĂƐ� Ğ� ĞŶƚŽƌƉĞĐĞŶƚĞƐ͖� ĐƌŝŵĞƐ� ĞĐŽŶƀŵŝĐŽͲĞŵƉƌĞƐĂƌŝĂŝƐ͖� ĨƌĂƵ-
ĚĞƐ�ĮƐĐĂŝƐ͕�ĚĞŶƚƌĞ�ŽƵƚƌŽƐͿ�ĂƟŶŐĞŵ�ŝŶƚĞƌĞƐƐĞƐ�ŶĆŽ�ĚŝƌĞƚĂŵĞŶƚĞ�ŝŶĚŝǀŝĚƵ-
ĂŝƐ͕�ŵĂƐ�Ɛŝŵ�ĚĞ�ƚŽĚĂ�Ă�ĐŽůĞƟǀŝĚĂĚĞ͘�EŽ�ŵĞƐŵŽ�ĚŝĂƉĂƐĆŽ͕�Ă�ŝŵƉƌĞƐƐĆŽ�ĚĞ�
FELDENS dá conta de que, na era da sociedade em rede, a criminalidade 
ǀŝŽůĞŶƚĂ�ǀġͲƐĞ�ƐƵďƐƟƚƵşĚĂ�ƉĞůĂ�ĂƐƚƷĐŝĂ͕�ƉĞůŽ�ĞŶůĞŝŽ͕�ƉĞůŽ�ĂƌĚŝů͕�ƉĞůĂ�ĨƌĂƵĚĞ�
Ğ�ƉĞůŽ�ĂƌƟİĐŝŽ�ŶƵŵ�ĐŽŶƚĞdžƚŽ�Ğŵ�ƋƵĞ�ĂƐ�ƌƵĂƐ�ĐĞĚĞŵ�ĞƐƉĂĕŽ�ăƐ�ŝŶĨŽǀŝĂƐ͕�
ĨĂnjĞŶĚŽ�ĚŽ�ĐŽŵƉƵƚĂĚŽƌ�Ğ�ĚĂ�ƚĞĐŶŽůŽŐŝĂ�ŝŶƐƚƌƵŵĞŶƚŽƐ�ĚŽ�ĐƌŝŵĞ͘�
EĂ�ĚŝŶąŵŝĐĂ�ĚŽ�ƉůĂŶĞũĂŵĞŶƚŽ�ĚĂ�ĚĞůŝŶƋƵġŶĐŝĂ�ŵŽĚĞƌŶĂ͕�ŽďƐĞƌǀĂͲƐĞ�
Ϯϯ�^/>s�Ͳ^�E�,��ĞŵƉƌĞŐĂ�Ă�ĞdžƉƌĞƐƐĆŽ�͞ƵĐƌŽŶŝƐŵŽ͟�ƉĂƌĂ�ĞdžƉƌĞƐƐĂƌ�Ă�ŵĞƐĐůĂ�ĞŶƚƌĞ�ƵƚŽƉŝĂ�Ğ�ŚŝƐƚſƌŝĂ͕�ƵŵĂ�ĞƐƉĠĐŝĞ�
ĚĞ�ĞdžĞƌĐşĐŝŽ�ŵĞŶƚĂů�ĚĞ�ŝŵĂŐŝŶĂƌ�Ă�ŚŝƐƚſƌŝĂ�ĚĂ�ĨŽƌŵĂ�ĐŽŵŽ�ĞůĂ�ƉŽĚĞƌŝĂ�ƚĞƌ�ƐŝĚŽ�Ğ�ŶĆŽ�ĐŽŵŽ�ƌĞĂůŵĞŶƚĞ�ƚƌĂŶƐĐŽƌƌĞƵ͘�
EĞƐƚĞ�ƐĞŶƟĚŽ͕�Ž�ĂůƵĚŝĚŽ�ĂƵƚŽƌ�ĐŚĂŵĂ�ĚĞ�ƵĐƌŽŶŝƐŵŽ�Ă�ƌĞƐŝƐƚġŶĐŝĂ�ĚĞ�ƉĂƌĐĞůĂ�ĚĂ�ĚŽƵƚƌŝŶĂ�ƋƵĂŶƚŽ�ă�ŵŽĚĞƌŶŝnjĂĕĆŽ�ĚŽ�
�ŝƌĞŝƚŽ�WĞŶĂů�Ğ�ƚĞŶƚĂƟǀĂ�ĚĞ�ƌĞƚŽƌŶŽ�ĂŽ�ŵŽĚĞůŽ�ĐĞŶƚƌĂĚŽ�ŶĂ�ƉƌŽƚĞĕĆŽ�ĞdžĐůƵƐŝǀĂ�ĚĞ�ŝŶƚĞƌĞƐƐĞƐ�ŝŶĚŝǀŝĚƵĂŝƐ͘��Ĩ͘ �^/>s�-
Ͳ^�E�,��͕�:ĞƐƷƐͲDĂƌŝĂ͘�KƉ͘�Đŝƚ͘, p. 136.
\R. EMERJ, Rio de Janeiro, v. 17, n. 64, p. 164- 186, jan. - abr. 2014\ 171
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ĚĞůŝŶƋƵġŶĐŝĂ�ĚŽ�ĐŽůĂƌŝŶŚŽ�ďƌĂŶĐŽ25, sendo este também um dos fatores 
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Ϯϰ�'K�/E,K� :ŽƌŐĞ� �ůĞdžĂŶĚƌĞ� &ĞƌŶĂŶĚĞƐ͘��Ž� ĐƌŝŵĞ� ĚĞ� ͞ďƌĂŶƋƵĞĂŵĞŶƚŽ͟� ĚĞ� ĐĂƉŝƚĂŝƐ͗� ŝŶƚƌŽĚƵĕĆŽ� Ğ� ƟƉŝĐŝĚĂĚĞ͘ 
Coimbra: Almedina, 2001, p. 31.
25 D�/�͕�ZŽĚŽůĨŽ�dŝŐƌĞ͘�Η�ůŐƵŵĂƐ�ƌĞŇĞdžƁĞƐ�ƐŽďƌĞ�Ž�ĐƌŝŵĞ�ŽƌŐĂŶŝnjĂĚŽ�Ğ�Ă�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽΗ͘�In: Revista da AJU-
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ŶŽǀŽ��ŝƌĞŝƚŽ�WĞŶĂůΗ͘ In: /ŶŽǀĂĕƁĞƐ�ŶŽ�ĚŝƌĞŝƚŽ�ƉĞŶĂů�ĞĐŽŶƀŵŝĐŽ͗�ĐŽŶƚƌŝďƵŝĕƁĞƐ�ĐƌŝŵŝŶŽůſŐŝĐĂƐ͕�ƉŽůşƟĐŽ�ĐƌŝŵŝŶĂŝƐ�Ğ�
ĚŽŐŵĄƟĐĂƐ͘��ƌĂƐşůŝĂ͗��^DWh͕�ϮϬϭϭ͕�Ɖ͘�ϭϬϲ͘�EŽ�ŵĞƐŵŽ�ƐĞŶƟĚŽ͗���E�^͕�sŝƚĂůŝŶŽ͘�K�ĐƌŝŵĞ�ĚĞ�ďƌĂŶƋƵĞĂŵĞŶƚŽ͗�ƌĞŐŝ-
me de prevenção e repressão. Coimbra: Almedina, 2004, p. 17.
Ϯϳ�K��ŝƌĞŝƚŽ�WĞŶĂů� �ĐŽŶƀŵŝĐŽ�Ğŵ� ƐĞŶƟĚŽ�ĞƐƚƌŝƚŽ� ƌĞƉƌĞƐĞŶƚĂƌŝĂ�Ž� ĐŽŶũƵŶƚŽ�ĚĞ� ŝŶĨƌĂĕƁĞƐ�ƉĞŶĂŝƐ�ƋƵĞ�ƉƌŽƚĞŐĞŵ�Ă�
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�ŝƌĞŝƚŽ�WĞŶĂů��ĐŽŶƀŵŝĐŽ�ƐĞƌŝĂ�ĐŽŶƐƟƚƵşĚŽ�ƉĞůŽ�ĐŽŶũƵŶƚŽ�ĚĞ�ŶŽƌŵĂƐ� ũƵƌşĚŝĐŽͲƉĞŶĂŝƐ�ƋƵĞ�ƉƌŽƚĞŐĞŵ�ĂƐ�ƌĞůĂĕƁĞƐ�ĚĞ�
ƉƌŽĚƵĕĆŽ͕�ĚŝƐƚƌŝďƵŝĕĆŽ�Ğ� ĐŽŶƐƵŵŽ�ĚĞ�ďĞŶƐ�Ğ� ƐĞƌǀŝĕŽƐ͘�EĞƐƚĞ� ƐĞŶƟĚŽ͗���:K�&�ZE�E��͕�DŝŐƵĞů�Ğ����/'�>hWK͕�
Silvina. Derecho Penal Económico. Madrid: Editorial Centro Estudos Ramón Areces, 2001, p. 11 e 15.
Ϯϴ����<͕�hůƌŝĐŚ͘�K�ƋƵĞ�Ġ�ŐůŽďĂůŝnjĂĕĆŽ͗�ĞƋƵşǀŽĐŽƐ�ĚŽ�ŐůŽďĂůŝƐŵŽ͕�ƌĞƐƉŽƐƚĂƐ�ă�ŐůŽďĂůŝnjĂĕĆŽ͘ Trad. André Carone. São 
Paulo: Ed. Paz e Terra, 1999, p. 30/31.
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ĐŽŶǀĞƌƚĞƌĂŵ�Ğŵ�ƵŵĂ�ŶŽǀĂ�ĐůĂƐƐĞ�ĚĞ�ůĞŐŝƐůĂĚŽƌĞƐ�ǀŝƌƚƵĂŝƐ29 sem pátria que 
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afetando, decisivamente, os valores e a vida dos cidadãos. 
Com efeito, Ă�ƵƟůŝnjĂĕĆŽ�ĚĞ�ĞŵƉƌĞƐĂƐ͕�ŝŶƐƟƚƵŝĕƁĞƐ�ĮŶĂŶĐĞŝƌĂƐ�Ğ�ƉƌŽ-
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das ŐƌĂŶĚĞƐ�ŽƉĞƌĂĕƁĞƐ�ĚĞ� ůĂǀĂŐĞŵ�ĚĞ�ĐĂƉŝƚĂŝƐ͕�ƐĞŶĚŽ�ĞƐƚĂ�Ă�ƌĂnjĆŽ�ƉĞůĂ�
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ŵĂƟǀĂƐ�ŵĂŝƐ�ƌĞĐĞŶƚĞƐ͕�ƐĆŽ�ŵŽǀŝŵĞŶƚĂĚŽƐ͕�ĚŝĂƌŝĂŵĞŶƚĞ͕�ŵĂŝƐ�ĚĞ�ĚŽŝƐ�ƚƌŝ-
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de LILLEY31�ŶŽ�ƐĞŶƟĚŽ�ĚĞ�ƋƵĞ�Ă�ǀĞůŚĂ�ŝŵĂŐĞŵ�ĚŽ�ƚƌĂĮĐĂŶƚĞ�ĚĞ�ĚƌŽŐĂƐ�ĐĂƌ-
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e, portanto, não deve ser esperada. 
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radoxo perverso32�ĚĞĐŽƌƌĞŶƚĞ�ĚŽ�ĐŝƚĂĚŽ�ƉƌŽĐĞƐƐŽ�ĚĞ�ŝŶƚĞƌĂƟǀŝĚĂĚĞ�ĞĐŽŶƀ-
ŵŝĐĂ͘��ĞƐƚĂƌƚĞ͕�ŶĂ�ƉƵũĂŶĕĂ�ĚĞ�ƐƵĂ�ĐŽŵƉůĞdžŝĚĂĚĞ͕�Ă�ŐůŽďĂůŝnjĂĕĆŽ�ůĞŐŽƵ�ĂŽ�
ŵƵŶĚŽ�Ă�͞ĞŵƉƌĞƐĂƌŝĂůŝnjĂĕĆŽ͟33�ĚĂ�ĚĞůŝŶƋƵġŶĐŝĂ�ƋƵĞ͕�Ă�ơƚƵůŽ�ĚĞ�ŝůƵƐƚƌĂĕĆŽ͕�
29 ��^d/>,K͕��ůĂ�tŝĞĐŬŽ�s͘ ��Ğ͘�K�ĐŽŶƚƌŽůĞ�ƉĞŶĂů�ŶŽƐ�ĐƌŝŵĞƐ�ĐŽŶƚƌĂ�Ž�ƐŝƐƚĞŵĂ�ĮŶĂŶĐĞŝƌŽ�ŶĂĐŝŽŶĂů�;>Ğŝ�Ŷ͘�ϳϰϵϮ͕�ĚĞ�
16 de junho de 1986). 1ª ed. Belo Horizonte: Del Rey, 2001, p. 90.
ϯϬ�'KD�^͕�>Ƶŝnj�&ůĄǀŝŽ͘�Η>ĂǀĂŐĞŵ�ĚĞ�ĐĂƉŝƚĂŝƐ�Ğ�ƋƵĞďƌĂ�ĚŽ�ƐĞŐƌĞĚŽ�ƉƌŽĮƐƐŝŽŶĂů�ĚŽ�ĂĚǀŽŐĂĚŽΗ͘�dĞdžƚŽ�ĚŝƐƉŽŶşǀĞů�Ğŵ͗�
ŚƩƉ͗ͬͬǁǁǁ͘ůĨŐ͘ĐŽŵ͘ďƌ. Acesso em 01.05.2013, p. 2.
31 LILLEY, Peter. >ĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ͗�ŶĞŐſĐŝŽƐ�ŝůşĐŝƚŽƐ�ƚƌĂŶƐĨŽƌŵĂĚŽƐ�Ğŵ�ĂƟǀŝĚĂĚĞƐ�ůĞŐĂŝƐ͘�Trad. Eduardo Lasserre 
São Paulo: Futura, 2001, p. 15.
ϯϮ�^ŽďƌĞ�Ă�ŝŶƚĞƌŶĂĐŝŽŶĂůŝnjĂĕĆŽ�ĚĂ�ĐƌŝŵŝŶĂůŝĚĂĚĞ�ƉƌŽƉŝĐŝĂĚĂ�ƉĞůĂ�ŝŶƚĞŐƌĂĕĆŽ�ĮŶĂŶĐĞŝƌĂ�Ğ�ĐŽŵƵŶŝĐĂƟǀĂ�ĚŽƐ�ƉĂşƐĞƐ͗�
F�ZZ�:K>/͕�>ƵŝŐŝ͘�Η�ƌŝŵŝŶĂůŝƚă�Ğ�'ůŽďĂůŝnjnjnjŝŽŶĞΗ͘� /Ŷ͗ Revista Brasileira de Ciências Criminais n. 42. São Paulo: RT, 
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33 DE SANCTIS, Fausto. �ŽŵďĂƚĞ�ă�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ͗�ƚĞŽƌŝĂ�Ğ�ƉƌĄƟĐĂ͘�Campinas: Millennium, 2008, p. 5. No 
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pode, por meio da rede mundial de computadores, fazer com que divisas de 
valor estratosférico circulem de um extremo ao outro do planeta em uma 
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;�ŽƉĂ�ĚŽ�DƵŶĚŽ�ĚĞ�&ƵƚĞďŽů�Ğ�:ŽŐŽƐ�KůşŵƉŝĐŽƐ͕�ƉƌŝŶĐŝƉĂůŵĞŶƚĞͿ͘�
WŽƌ�ƚŽĚŽ�Ž�ĞdžƉŽƐƚŽ͕�ŶĂ�ĐŽŶĚŝĕĆŽ�ĚĞ�ŝŵƉŽƌƚĂŶƚĞ�ĞdžƉƌĞƐƐĆŽ�ŵŽĚĞƌ-
ŶĂ�ĚĂ�ĐƌŝŵŝŶĂůŝĚĂĚĞ�ĞĐŽŶƀŵŝĐĂ35͕�Ă�ůĂǀĂŐĞŵ�ĚĞ�ĐĂƉŝƚĂŝƐ�ĂĮŐƵƌĂͲƐĞ�ĐŽŵŽ�
tema de relevância indubitável. 
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�ƐƟŵĂͲƐĞ�ƋƵĞ͕�ĂŶƵĂůŵĞŶƚĞ͕�ƐĆŽ� ůĂǀĂĚŽƐ�ĂŽ�ƌĞĚŽƌ�ĚŽ�ŵƵŶĚŽ�ĂůŐŽ�
ĞŶƚƌĞ�ŽŝƚŽĐĞŶƚŽƐ�ŵŝůŚƁĞƐ�Ğ�ĚŽŝƐ�ďŝůŚƁĞƐ�ĚĞ�ĞƵƌŽƐ͕�ŽƵ�ƐĞũĂ͕�Ž�ĞƋƵŝǀĂůĞŶƚĞ�
ĂŽ�ŵŽŶƚĂŶƚĞ�ĞŶƚƌĞ�Ϯ�Ğ�ϱ�й�ĚĂ�ƉƌŽĚƵĕĆŽ�ĞĐŽŶƀŵŝĐĂ�ŐůŽďĂů͕�Ž�ƋƵĞ�Ġ�ĂƉƌŽ-
ximável, por exemplo, ao produto interno bruto da Alemanha, maior eco-
nomia da Europa na atualidade36. Ainda assim, é extremamente pequeno 
Ž�ŶƷŵĞƌŽ�ĚĞ�ŽďƌĂƐ�ĐŝĞŶơĮĐĂƐ͕�ŝŶǀĞƐƟŐĂĕƁĞƐ�Ğ�ĚĞĐŝƐƁĞƐ�ũƵĚŝĐŝĂŝƐ�ƐŽďƌĞ�Ž�
ĐƌŝŵĞ�ĚĞ�ůĂǀĂŐĞŵ�ĚĞ�ĐĂƉŝƚĂŝƐ͕�ŶĆŽ�ƐĞŶĚŽ�ŽƵƚƌĂ�Ă�ƌĂnjĆŽ�ƉĞůĂ�ƋƵĂů͕�ũĄ�ŚĄ�Ăů-
ŐƵŵ�ƚĞŵƉŽ͕�ŽƐ�ĂƵƚŽƌĞƐ�ƚġŵ�ĐŚĂŵĂĚŽ�Ă�ĂƚĞŶĕĆŽ�ƉĂƌĂ�Ă�ŶĞĐĞƐƐŝĚĂĚĞ�ĚĞ�ĨŽ-
mentar, no Brasil37 e no exterior38͕�Ž�ĞƐƚĂďĞůĞĐŝŵĞŶƚŽ�ƵŵĂ�ĂƵƚġŶƟĐĂ�ĐƵůƚƵ-
ƌĂ�ĚĞ�ŝŶǀĞƐƟŐĂĕĆŽ�Ğ�ƉĞƌƐĞĐƵĕĆŽ�ƋƵĂŶƚŽ�ĂŽ�ĐƌŝŵĞ�ĚĞ�ůĂǀĂŐĞŵ�ĚĞ�ĐĂƉŝƚĂŝƐ͘�
ĐŽƌƌƵƉƚŽƌ�ĚĞ�ƚŽĚĂ�ůĂ�ĂĐƟǀŝĚĂĚĞ�ĞĐŽŶſŵŝĐĂ�ůĞŐĂů͘͟ �jH/'��ZK�Z1'h�͕�>ĂƵƌĂ͘�Criminalidad organizada y sistema 
de derecho penal: contribuición a la determinación del injusto penal de organización criminal. Granada: Editorial 
Comares, 2009, p. 143.
34 WZ��K͕�>Ƶŝnj�ZĞŐŝƐ͘�ΗK�ŶŽǀŽ�ƚƌĂƚĂŵĞŶƚŽ�ƉĞŶĂů�ĚĂ�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ�;>Ğŝ�ϭϮ͘ϲϴϯͬϮϬϭϮͿ͘Η In: Revista dos Tribu-
nais v. 926. São Paulo:RT, dezembro/2012, p. 403/404.
ϯϱ�^ŽďƌĞ�Ă�ĂƚƵĂůŝĚĂĚĞ�ĚĂƐ�ŝŵƉŽƌƚĂŶƚĞƐ�ƌĞƉĞƌĐƵƐƐƁĞƐ�ĚŽ�ƚĞŵĂ͕�ĞƐƚĂ�Ġ�Ă�ƉƌĞůĞĕĆŽ�ĚĞ�&/'h�/Z��K��/�^�Ğ��K^d���E-
DRADE: ͞��ĐƌŝŵŝŶĂůŝĚĂĚĞ�ĞĐŽŶƀŵŝĐĂ͕�ŶĂƐ�ƐƵĂƐ�ĨŽƌŵĂƐ�ĐůĄƐƐŝĐĂƐ�ŽƵ�ŵŽĚĞƌŶĂƐ͕�Ġ�Ƶŵ�ƚĞŵĂ�ĚĞ�ŵĂƌĐĂĚĂ�ĂĐƚƵĂůŝĚĂĚĞ͘�
WĞůĂ�ĚŝŵĞŶƐĆŽ�ĚŽƐ�ĚĂŶŽƐ�ŵĂƚĞƌŝĂŝƐ�Ğ�ŵŽƌĂŝƐ�ƋƵĞ�ƉƌŽǀŽĐĂ͕�ƉĞůĂ�ƐƵĂ�ĐĂƉĂĐŝĚĂĚĞ�ĚĞ�ĂĚĂƉƚĂĕĆŽ�Ğ�ƐŽďƌĞǀŝǀġŶĐŝĂ�ăƐ�
ŵƵƚĂĕƁĞƐ�ƐŽĐŝĂŝƐ�Ğ�ƉŽůşƟĐĂƐ͕�ƉĞůĂ�ƐƵĂ�ĂƉƟĚĆŽ�ƉĂƌĂ�ĐƌŝĂƌ�ĚĞĨĞƐĂƐ�ĨƌƵƐƚƌĂŶĚŽ�ĂƐ�ĨŽƌŵĂƐ�ĚĞ�ůƵƚĂ�ƋƵĞ�ůŚĞ�ƐĆŽ�ĚŝƌŝŐŝĚĂƐ͕�
Ă�ĐƌŝŵŝŶĂůŝĚĂĚĞ�ĞĐŽŶƀŵŝĐĂ�Ġ�ƵŵĂ�ĂŵĞĂĕĂ�ƐĠƌŝĂ�Ă�ŵŝŶĂƌ�ŽƐ�ĂůŝĐĞƌĐĞƐ�ĚĞ�ƋƵĂůƋƵĞƌ�ƐŽĐŝĞĚĂĚĞ�ŽƌŐĂŶŝnjĂĚĂ͘��Ăş�ƋƵĞ�Ă�
ŝŶǀĞŶĕĆŽ�ĚĞ�ĨŽƌŵĂƐ�ĞĮĐĂnjĞƐ�ĚĞ�ůƵƚĂ�ƐĞũĂ�ŚŽũĞ�ƉƌĞŽĐƵƉĂĕĆŽ�ĚĂƐ�ŝŶƐƚąŶĐŝĂƐ�ŐŽǀĞƌŶĂŵĞŶƚĂŝƐ͕�ũƵĚŝĐŝĂŝƐ͕�ƉŽůŝĐŝĂŝƐ͕�ĞƚĐ͕͘�
ĚĞ�ƚŽĚŽƐ�ŽƐ�ƉĂşƐĞƐ͘͟ ��Ĩ͘ �&/'h�/Z��K��/�^͕�:ŽƌŐĞ�ĚĞ͖��K^d���E�Z���͕�DĂŶŽĞů�ĚĂ͘�ΗWƌŽďůĞŵĄƟĐĂ�ŐĞƌĂů�ĚĂƐ�ŝŶĨƌĂĕƁĞƐ�
ĐŽŶƚƌĂ�Ă�ĞĐŽŶŽŵŝĂ�ŶĂĐŝŽŶĂůΗ. In Direito penal econômico e europeu: textos doutrinários.�s͘ �/͘��ŽŝŵďƌĂ͗��ŽŝŵďƌĂ�
Editora, 1998, p. 319/320.
36 ��E�^͕�sŝƚĂůŝŶŽ͘�K�ĐƌŝŵĞ�ĚĞ�ďƌĂŶƋƵĞĂŵĞŶƚŽ͗�ƌĞŐŝŵĞ�ĚĞ�ƉƌĞǀĞŶĕĆŽ�Ğ�ƌĞƉƌĞƐƐĆŽ. Coimbra: Almedina, 2004, p. 8.
37 MORO, SĠƌŐŝŽ�&ĞƌŶĂŶĚŽ͘�KƉ͘�Đŝƚ͘, p. 98/99.
ϯϴ�WŽƌ�ĞdžĞŵƉůŽ͕���E�^�ƌĞůĂƚĂ�ƋƵĞ�Ă�ĞƐĐĂƐƐĞnj�ĚĞ�ĚĂĚŽƐ�ĞƐƚĂơƐƟĐŽƐ�ĮĄǀĞŝƐ�Ġ�Ƶŵ�ĚŽƐ�ĨĂƚŽƌĞƐ�ƋƵĞ�ŝŵƉĞĚĞŵ�Ă�ŵĂŝŽƌ�
ĞĨĞƟǀŝĚĂĚĞ�ĚĂ�ůĞŐŝƐůĂĕĆŽ�ƉĞŶĂů�ĂŶƟůĂǀĂŐĞŵ�Ğŵ�WŽƌƚƵŐĂů͘���E�^͕�sŝƚĂůŝŶŽ͘�K�ĐƌŝŵĞ�ĚĞ�ďƌĂŶƋƵĞĂŵĞŶƚŽ͗�ƌĞŐŝŵĞ�ĚĞ�
prevenção e repressão. Coimbra: Almedina, 2004, p. 07.
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ƌĞĚĂĕĆŽ�ĚĂ�DĞƚĂ�Ŷ͘�Ϯϲ͕�ŶŽ�ĂŶŽ�ĚĞ�ϮϬϬϰ͕�ĚĂ��E��>��ĨŽŝ�Ă�ƐĞŐƵŝŶƚĞ͗�͞WƌŽŵŽǀĞƌ�Ă�ŝŶĐůƵƐĆŽ�ŶŽƐ�ĐƵƌƌşĐƵůŽƐ�ĂĐĂĚġŵŝĐŽƐ�
ĚĞ�ŐƌĂĚƵĂĕĆŽ�Ğ�ƉſƐͲŐƌĂĚƵĂĕĆŽ�ĚŽ�ĞƐƚƵĚŽ�ĚĂ�ĐƌŝŵŝŶĂůŝĚĂĚĞ�ƚƌĂŶƐŶĂĐŝŽŶĂů�Ğ͕�ĞƐƉĞĐŝĂůŵĞŶƚĞ͕�ĚŽ�ĐŽŵďĂƚĞ�ă�ůĂǀĂŐĞŵ�
ĚĞ� ĚŝŶŚĞŝƌŽ� Ğ� ĚĂ� ĐŽŽƉĞƌĂĕĆŽ� ũƵƌşĚŝĐĂ� ŝŶƚĞƌŶĂĐŝŽŶĂů͘͟� dĞdžƚŽ� ŝŶƚĞŐƌĂů� ĚŝƐƉŽŶşǀĞů� Ğŵ͗�ǁǁǁ͘ƉŽƌƚĂů͘ŵũ͘ŐŽǀ͘ďƌͬĞŶĐĐůĂ. 
Acesso em 01.01.2013. 
40 Conforme ŵĂƚĠƌŝĂ�ƉƷďůŝĐĂĚĂ�ŶŽ�ũŽƌŶĂů�Folha de São Paulo, em 26.03.2013, p. A-10. Em meio a uma ofensiva 
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ĞƵƌŽƉĞƵƐ�ĂďĂŶĚŽŶĂŵ�Ž�ĂŶƟŐŽ�ƐŝŐŝůŽΗ͘��ƌƟŐŽ�ƉƵďůŝĐĂĚŽ�ŶŽ�:ŽƌŶĂů�The New York Times, em 03.06.2013, p. 2.
\R. EMERJ, Rio de Janeiro, v. 17, n. 64, p. 164- 186, jan. - abr. 2014\ 175
dade da economia mundial ao sabor de decisões explicáveis apenas sob 
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ŵĞƌĂŶŐƵĞ41͕�Ă�ĐƌĞĚŝďŝůŝĚĂĚĞ�Ğ�Ă�ĐĂƉĂĐŝĚĂĚĞ�ĚĞ�ŐĞƌŝƌ�ƐĞƵ�ƉƌſƉƌŝŽ�ĚĞƐƟŶŽ42. 
KƵƚƌŽƐƐŝŵ͕�Ă� ĐƌŝƐĞ�ĞĐŽŶƀŵŝĐĂ� ŝŶŝĐŝĂĚĂ�ŶŽ�ĂŶŽ�ĚĞ�ϮϬϬϴ�ƉŽƌ� ĐŽŶƚĂ�
da quebra do sistema hipotecário norte-americano fez com que, na bus-
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ĚĞ�ƌĞƐƐƵƌƌĞŝĕĆŽ�ĚŽ�ǀĞƚƵƐƚŽ�ĂĚĄŐŝŽ�ƉĞĐƵŶŝĂ�ŶŽŶ�ŽůĞƚ͕44�ĂŝŶĚĂ�ƋƵĞ�Ă�ŝŶŐĞƐƚĆŽ�
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ƐĆŽ�ĚĂ�ŝŐƵĂůĚĂĚĞ�ĚĞ�ŽƉŽƌƚƵŶŝĚĂĚĞƐ͕�ĚĂ�ůŝǀƌĞ�ĐŽŶĐŽƌƌġŶĐŝĂ͕�ƋƵĂŶĚŽ�ŶĆŽ�Ă�
ĐŽƌƌŽƐĆŽ�ĚŽ�ƉƌſƉƌŝŽ��ƐƚĂĚŽ��ĞŵŽĐƌĄƟĐŽ�ĚĞ��ŝƌĞŝƚŽ45. 
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pontuais (v.g.͗�Ă�ĞƐƉĞĐŝĂůŝnjĂĕĆŽ�ĚĞ�ſƌŐĆŽƐ�ũƵƌŝƐĚŝĐŝŽŶĂŝƐ�Ğŵ�ŵĂƚĠƌŝĂ�ĚĞ�ůĂ-
ǀĂŐĞŵ�ĚĞ�ĐĂƉŝƚĂŝƐ47Ϳ͕�ŵĂƐ�ƚĂŵďĠŵ�ŵƵŝƚĂƐ�ĚĞĮĐŝġŶĐŝĂƐ�ƉĞƌƐŝƐƚĞŶƚĞƐ�;v.g.: 
ďĂŝdžŽ�ŶƷŵĞƌŽ�ĚĞ�ŝŶǀĞƐƟŐĂĕƁĞƐ�Ğ�ƐĞŶƚĞŶĕĂƐ�ƉƌŽĨĞƌŝĚĂƐ�ƐŽďƌĞ�Ž�ĐƌŝŵĞ�ĚĞ�
41 PINTO, Edson.�>ĂǀĂŐĞŵ�ĚĞ�ĐĂƉŝƚĂŝƐ�Ğ�ƉĂƌĂşƐŽƐ�ĮƐĐĂŝƐ. São Paulo: Atlas, 2007, p. 64. 
42 ��E�^͕�sŝƚĂůŝŶŽ͘�K�ĐƌŝŵĞ�ĚĞ�ďƌĂŶƋƵĞĂŵĞŶƚŽ͗�ƌĞŐŝŵĞ�ĚĞ�ƉƌĞǀĞŶĕĆŽ�Ğ�ƌĞƉƌĞƐƐĆŽ. Coimbra: Almedina, 2004, p 18.
ϰϯ��ƐƚĞ�ĨĂƚŽ�ĨŽŝ�ĚĞŶƵŶĐŝĂĚŽ͕�Ğŵ�ĞŶƚƌĞǀŝƐƚĂ�ƉƵďůŝĐĂĚĂ�ŶŽ�ũŽƌŶĂů�El País, em 22.02.2009, por Antonio Maria Costa, 
ĞdžͲ�ŝƌĞƚŽƌ��džĞĐƵƟǀŽ�ĚĂ��ŐġŶĐŝĂ�ĚĂƐ�EĂĕƁĞƐ�hŶŝĚĂƐ�ĐŽŶƚƌĂ�ĂƐ��ƌŽŐĂƐ�Ğ�Ž��ƌŝŵĞ͘�^ĞŐƵŶĚŽ�Ž�ŵĞƐŵŽ͕�ĂƐ�ŝŶƐƟƚƵŝĕƁĞƐ�
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ƐŽŵĞŶƚĞ�ĐŽŵ�Ž�ŶĂƌĐŽƚƌĄĮĐŽ�Ğŵ�ϮϬϬϱ͕�ĞŶƚƌĞ�ϯϬϬ�Ğ�ϯϱϬ�ŵŝůŚƁĞƐ�ĚĞ�ĚſůĂƌĞƐ͕�ƐĞŐƵŶĚŽ�ĚĂĚŽƐ�ĚĂ�KEh͘�dĞdžƚŽ�ĚŝƐƉŽŶşǀĞů�
no site: ŚƩƉ͗ͬͬĞůƉĂŝƐ͘ĐŽŵͬĞůƉĂŝƐ. Acesso em 10.07.2013.
ϰϰ��ŝƚĂĚŽ͕�ƐĞŐƵŶĚŽ�Ž�ƋƵĂů͕�Ž�ĚŝŶŚĞŝƌŽ�ŶĆŽ�ƚĞŵ�ĐŚĞŝƌŽ͕�ŽƵ�ƐĞũĂ͕�ŶĆŽ�ŝŵƉŽƌƚĂ�ĚĞ�ŽŶĚĞ�Ž�ĐĂƉŝƚĂů�ǀĞŶŚĂ͕�ĚĞƐĚĞ�ƋƵĞ�ĞůĞ�
ǀĞŶŚĂ͘�EĞƐƚĞ�ƐĞŶƟĚŽ͕�Ğŵ�ŶŽƌŵĂ�ǀŝŐŽƌĂŶƚĞ�Ă�ƉĂƌƟƌ�ĚĞ�Ϭϭ͘Ϭϳ͘ϮϬϭϯ͕�Ă��ƌŐĞŶƟŶĂ�ĂŶŝƐƟŽƵ͕�Ğŵ�ƚĞƌŵŽƐ�ƉĞŶĂŝƐ�Ğ�ƚƌŝďƵƚĄ-
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ĚŽ�ũŽƌŶĂů�Valor Econômico͕�ŵĂƚĠƌŝĂ�ƉƵďůŝĐĂĚĂ�Ğŵ�Ϭϭ͘Ϭϳ͘ϮϬϭϯ͕�ăƐ�ϭϵ͗ϰϵ�ŚƐ͘�dĞdžƚŽ�ĚŝƐƉŽŶşǀĞů�Ğŵ͗�www.valor.com.br/
internacional. Acesso em 08.07.2013.
45 'KD�^͕��ďĞů͘�Η��ŽďƌŝŐĂĕĆŽ�ĚĞ�ĐŽŵƵŶŝĐĂƌ�ŽƉĞƌĂĕƁĞƐ�ƐƵƐƉĞŝƚĂƐΗ͘��ƌĂƐşůŝĂ͗�Revista da AJUFE�Ͳ��ƐƐŽĐŝĂĕĆŽ�ĚŽƐ�:ƵşnjĞƐ�
Federais do Brasil, v. 21, 2004, p. 45.
ϰϲ�K�ƌĞůĂƚſƌŝŽ�ŵĂŝƐ�ƌĞĐĞŶƚĞ�Ġ�ĚĂƚĂĚŽ�ĚĞ�Ϯϱ͘Ϭϲ͘ϮϬϭϬ͘�dĞdžƚŽ�Ğŵ�ŝĚŝŽŵĂ�ŝŶŐůġƐ�ĚŝƐƉŽŶşǀĞů�Ğŵ͗�ŚƩƉƐ͗ͬͬǁǁǁ͘ĐŽĂĨ͘ ĨĂnjĞŶ-
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47 Ainda assim, em 2001, uma�ƉĞƐƋƵŝƐĂ�ƉƵďůŝĐĂĚĂ�ƉĞůŽ��ĞŶƚƌŽ�ĚĞ��ƐƚƵĚŽƐ�:ƵĚŝĐŝĄƌŝŽƐ�ĚŽ��ŽŶƐĞůŚŽ�ĚĂ�:ƵƐƟĕĂ�&ĞĚĞƌĂů�
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Em meados da década de 1990, a expressão ͞ĐŽŵƉůŝĂŶĐĞ͟ϰϵ�ƐƵƌŐŝƵ�
ŶŽ�ŵĞƌĐĂĚŽ�ĮŶĂŶĐĞŝƌŽ�ĐŽŵŽ�Ƶŵ�ŵĂŶĚĂŵĞŶƚŽ�ĠƟĐŽ�ĚĞ�ŐŽǀĞƌŶĂŶĕĂ�ĐŽƌƉŽ-
ƌĂƟǀĂ�ǀŽůƚĂĚŽ�ă�ƌĞŽƌŐĂŶŝnjĂĕĆŽ�ĚĂƐ�ƌŽƟŶĂƐ�ŽƉĞƌĂĐŝŽŶĂŝƐ�ĚĞ�ĞŵƉƌĞƐĂƐ͘��Ğ�
ŵŽĚŽ�ŐĞƌĂů͕�ĂƉſƐ�ƐƵĐĞƐƐŝǀŽƐ�ĂďĂůŽƐ�ŐĞƌĂĚŽƐ�ƉŽƌ�ĐŽŵƉŽƌƚĂŵĞŶƚŽƐ�ŶĞŐŽ-
ĐŝĂŝƐ�ŽďƐĐƵƌŽƐ͕�ďƵƐĐĂǀĂͲƐĞ�ƉƌĞƐĞƌǀĂƌ�Ă�ƌĞƉƵƚĂĕĆŽ�ĚĞ�ŐƌĂŶĚĞƐ�ŝŶƐƟƚƵŝĕƁĞƐ�
privadas, disseminando-se o hábito de cumprimento dos deveres norma-
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Ğ�ĞŶƟĚĂĚĞƐ͕�ƐŽď�ƉĞŶĂ�ĚĞ�ƌĞƐƉŽŶƐĂďŝůŝnjĂĕĆŽ�ĂĚŵŝŶŝƐƚƌĂƟǀĂ͕�ĐşǀĞů�Ğ�ƉĞŶĂů50. 
K�ŵĂƌĐŽ�ƌĞŐƵůĂƚſƌŝŽ�ŝŶŝĐŝĂů�ƐŽďƌĞ�Ă�ŵĂƚĠƌŝĂ�ĚĞƵͲƐĞ�ŶĂ��ŽŶĨĞƌġŶĐŝĂ�
ĚĞ�,ĂŝĂ͕�ƌĞĂůŝnjĂĚĂ�Ğŵ�ϭϵϯϬ͕�ƋƵĞ�ĞƐƚĂďĞůĞĐĞƵ�Ă�ĨƵŶĚĂĕĆŽ�ĚŽ�Bank for In-
ƚĞƌŶĂƟŽŶĂů�^ĞƩůĞŵĞŶƚƐ�ʹ��/^͕�ĐŽŵ�ƐĞĚĞ�ŶĂ�^ƵşĕĂ�Ğ�ƋƵĞ�ƚĞŵ�ƉŽƌ�ĮŶĂůŝĚĂ-
ĚĞ�ƉƌŽƉŽƌĐŝŽŶĂƌ�Ă�ĐŽŽƉĞƌĂĕĆŽ�ĞŶƚƌĞ�ŽƐ�ďĂŶĐŽƐ�ĐĞŶƚƌĂŝƐ͘�WŽƐƚĞƌŝŽƌŵĞŶƚĞ͕�
em meados da década de 1960, a ^ĞĐƵƌŝƟĞƐ�ĂŶĚ��džĐŚĂŶŐĞ��ŽŵŵŝƐƐŝŽŶ 
ĨŽŵĞŶƚŽƵ�Ă�ĐŽŶƚƌĂƚĂĕĆŽ�ĚĞ�ĐŽŵƉůŝĂŶĐĞ�ŽĸĐĞƌƐ�ǀŝƐĂŶĚŽ�ă�ĐƌŝĂĕĆŽ�ĚĞ�ƉƌŽ-
cedimentos internos de controle, treinamento de pessoas e o monitora-
ŵĞŶƚŽ�Ğ�ƐƵƉĞƌǀŝƐĆŽ�ĚĞ�ĂƟǀŝĚĂĚĞƐ�ƐƵƐƉĞŝƚĂƐ͘��ŝŶĚĂ�ƋƵĞ�ĐŽŶƐŝĚĞƌĂĚŽƐ�ƚĂŝƐ�
ĂĐŽŶƚĞĐŝŵĞŶƚŽƐ͕�Ž�ĚŝƉůŽŵĂ�ůĞŐĂů�ƉƌĞĐƵƌƐŽƌ�ĚĞ�ĚĞƚĞƌŵŝŶĂĕƁĞƐ�ŶĞƐƚĞ�ƐĞŶƟ-
do foi a Lei Sarbanes-Oxley, de 2002, nos EUA51.
ϰϴ��ŵ�ϮϬϭϮ͕�ŶŽ�ąŵďŝƚŽ�ĚĞ�ƚŽĚĂƐ�ĂƐ�sĂƌĂƐ�&ĞĚĞƌĂŝƐ�ĚŽ��ƌĂƐŝů͕�ŚĂǀŝĂ�Ğŵ�ƚƌąŵŝƚĞ�ĂƉĞŶĂƐ�ϵϳϭ�ŝŶƋƵĠƌŝƚŽƐ�ƉŽůŝĐŝĂŝƐ�Ğ�ϴϯ�
ĂĕƁĞƐ�ƉĞŶĂŝƐ�ƐŽďƌĞ�ůĂǀĂŐĞŵ�ĚĞ�ĐĂƉŝƚĂŝƐ͕�ĐŽŶĨŽƌŵĞ�ŵĂƚĠƌŝĂ�ƉƵďůŝĐĂĚĂ�ŶŽ site ĚŽ��ŽŶƐĞůŚŽ�EĂĐŝŽŶĂů�ĚĞ�:ƵƐƟĕĂ͗� ŚƩƉ͗ͬͬ
ǁǁǁ͘ĐŶũ͘ũƵƐ͘ďƌͬŶŽƟĐŝĂƐ. Acesso em 21.06.2013.
49 O termo advém do verbo͞ƚŽ�ĐŽŵƉůLJ͕͟�ƋƵĞ�ŶŽ�ŝĚŝŽŵĂ�ŝŶŐůġƐ�ƐŝŐŶŝĮĐĂ͕�Ğŵ�ƚƌĂĚƵĕĆŽ�ůŝƚĞƌĂů͕�ĐƵŵƉƌŝƌ͘ ��ŽŵƉůŝĂŶĐĞ é, 
ƉŽƌƚĂŶƚŽ͕�Ž�ĂƚŽ�ĚĞ�ĐƵŵƉƌŝƌ�ŶŽƌŵĂƐ�Ğ�ĂŐŝƌ�ĚĞŶƚƌŽ�ĚĞ�ƐĞƵƐ�ůŝŵŝƚĞƐ͘
ϱϬ��ŵ�ĂŐŽƐƚŽ�ĚĞ�ϮϬϬϯ͕�ĐŽŵ�ĂƚƵĂůŝnjĂĕĆŽ�Ğŵ�ũƵůŚŽ�ĚĞ�ϮϬϬϵ͕������/�ʹ ��ƐƐŽĐŝĂĕĆŽ��ƌĂƐŝůĞŝƌĂ�ĚŽƐ��ĂŶĐŽƐ�/ŶƚĞƌŶĂĐŝŽŶĂŝƐ�Ğ�
Ă�&��Z���E�ʹ�&ĞĚĞƌĂĕĆŽ��ƌĂƐŝůĞŝƌĂ�ĚĞ��ĂŶĐŽƐ�ůĂŶĕĂƌĂŵ�ƵŵĂ�ĐĂƌƟůŚĂ�ĐŽŵ�ƌĞŐƌĂƐ�ďĄƐŝĐĂƐ�ƉĂƌĂ�ĞdžĞƌĐşĐŝŽ�ĚĂ�ĐŽŵƉůŝĂŶ-
ce͘��ŝƐƉŽŶşǀĞů�ŶŽ�site: www.febraban.org.br. Acesso em 21.06.2013.
ϱϭ���ZdKE/͕�&ĞůŝƉĞ�&ĂŽƌŽ͖���Zs�>,K͕��ŝŽŐŽ͘�Η�ƌŝŵŝŶĂů�ĐŽŵƉůŝĂŶĐĞ�Ğ�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ͘Η�dĞdžƚŽ�ĚŝƐƉŽŶşǀĞů�Ğŵ͗�
ŚƩƉ͗ͬͬĞŬƐ͘ƉƵĐƌƐ͘ďƌͬĞĚŝƉƵĐƌƐͬĂŶĂŝƐͬĐŝĞŶĐŝĂƐĐƌŝŵŝŶĂŝƐͬ/sͬϬϴ͘ƉĚĨ͘ Acesso em 01.01.2014.
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\R. EMERJ, Rio de Janeiro, v. 17, n. 64, p. 164- 186, jan. - abr. 2014\ 177
O conceito de ĐƌŝŵŝŶĂů�ĐŽŵƉůŝĂŶĐĞ�ƐƵƌŐŝƵ�ŵĂŝƐ�ƌĞĐĞŶƚĞŵĞŶƚĞ�ĐŽŵŽ�
ƌĞŇĞdžŽ�ĚĂ�ĞdžƉĂŶƐĆŽ�ĚŽ��ŝƌĞŝƚŽ�WĞŶĂů��ĐŽŶƀŵŝĐŽ�Ğ�ĚĂ�ĐƌŝŵŝŶĂůŝĚĂĚĞ�ĞŵƉƌĞ-
sarial52͘���ƉĂƌƟƌ�ĚĞ�ĞŶƚĆŽ͕�ƚĞŵ�ƐŝĚŽ�ĐŽŵƵŵ�ŶŽƐ��h��Ğ�Ğŵ�ƉĂşƐĞƐ�ĚĂ��ƵƌŽƉĂ�
ocidental, especialmente na Alemanha, o estabelecimento de departamen-
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ƉƌŽĐĞĚŝŵĞŶƚŽƐ�ĚĂ�ĞŵƉƌĞƐĂ�ĐŽŵ�ǀŝƐƚĂƐ�Ă�ŐĂƌĂŶƟƌ�Ă�ĐŽŶĨŽƌŵŝĚĂĚĞ�ĚĞ�ƐƵĂ�
ĂƚƵĂĕĆŽ�ĐŽŵ�ĂƐ�ĞdžŝŐġŶĐŝĂƐ�ŶŽƌŵĂƟǀĂƐ͕�Ğŵ�ĞƐƉĞĐŝĂů�ƋƵĂŶƚŽ�ĂŽ�ĐƵŵƉƌŝŵĞŶ-
ƚŽ�ĚĂƐ�ŽďƌŝŐĂĕƁĞƐ�ĚĞ�ƉƌĞǀĞŶĕĆŽ�Ğ�ƌĞƉƌĞƐƐĆŽ�ă�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ53. 
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ĐŽŵ�Ă�ƌĞĚĂĕĆŽ�ĚĂĚĂ�ƉĞůĂ�>Ğŝ�Ŷ͘�ϭϮ͘ϲϴϯ͕�ĚĞ�Ϭϵ͘Ϭϳ͘ϮϬϭϮ͕�ĂůĂƌŐŽƵ�ĐŽŶƐŝĚĞ-
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deveres54͘��ŵďŽƌĂ�ŶĆŽ�ĞdžŝƐƚĂ�ŶŽ�ŽƌĚĞŶĂŵĞŶƚŽ��ũƵƌşĚŝĐŽ�ďƌĂƐŝůĞŝƌŽ55�Ƶŵ�ƟƉŽ�
ƉĞŶĂů�ĞƐƉĞĐşĮĐŽ56, não há razão para afastar, de plano, que o reconhecimen-
ƚŽ�ĚĞ�ƋƵĞ�Ž�ĚĞƐĐƵŵƉƌŝŵĞŶƚŽ�ĚŽůŽƐŽ�Ğ�ŝŶũƵƐƟĮĐĂĚŽ�ĚŽƐ�ĚĞǀĞƌĞƐ�ĚĞ�ĐŽůĂďŽ-
ƌĂĕĆŽ�ĂŶƟůĂǀĂŐĞŵ�ĐŽŶĮŐƵƌĂ�ŽŵŝƐƐĆŽ�ƉĞŶĂůŵĞŶƚĞ�ƌĞůĞǀĂŶƚĞ�ŶŽƐ�ƚĞƌŵŽƐ�ĚŽ�
Ăƌƚ͘�ϭϯ͕�Ɖ͘�ϮǑ͕�DzĂDz�ĚŽ��ſĚŝŐŽ�WĞŶĂů57, dentre outros fundamentos58. 
ϱϮ�EĞƐƚĞ�ƐĞŶƟĚŽ͗�^��s��Z�͕�'ŝŽǀĂŶŝ��ŐŽƐƟŶŝ͘�Η�ŽŵƉůŝĂŶĐĞ�ŶĂ�EŽǀĂ�>Ğŝ�ĚĞ�>ĂǀĂŐĞŵ�ĚĞ��ŝŶŚĞŝƌŽΗ. In: Revista Sín-
tese n. 75. WŽƌƚŽ��ůĞŐƌĞ͗�^şŶƚĞƐĞ͕�ĂŐŽƐƚŽͬϮϬϭϮ͕�Ɖ͘�Ϯϯ͘���ƐĂďŝĚŽ�ƋƵĞ͕�ŶŽ��ƌĂƐŝů͕�ĂƉĞŶĂƐ�Ă�>Ğŝ�Ŷ͘Ǒ�ϵ͘ϲϬϱͬϭϵϵϴ�ƉƌĞǀġ�Ă�
ƌĞƐƉŽŶƐĂďŝůŝĚĂĚĞ�ƉĞŶĂů�ĚĂ�ƉĞƐƐŽĂ�ũƵƌşĚŝĐĂ�Ğ͕�ĂŝŶĚĂ�ĂƐƐŝŵ͕�ƐŽŵĞŶƚĞ�ŶŽƐ�ĐĂƐŽƐ�ĚĞ�ĚĞůŝƚŽƐ�ĐŽŶƚƌĂ�Ž�ŵĞŝŽ�ĂŵďŝĞŶƚĞ͘�
�ŶƚƌĞƚĂŶƚŽ͕�ǀĂůĞ�ŵĞŶĐŝŽŶĂƌ�Ž�ĚŝƐƉŽƐƚŽ�ŶŽ�Ăƌƚ͘�ϰϭ�ĚŽ�WƌŽũĞƚŽ�ĚĞ�>Ğŝ�ĚŽ�^ĞŶĂĚŽ�ϮϯϲͬϮϬϭϮ͕�ƋƵĞ�ĂŵƉůŝĂ�Ă��ƌĞƐƉŽŶƐĂďŝ-
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ƐŝƐƚĞŵĂ�ĮŶĂŶĐĞŝƌŽ�Ğ�Ž�ŵĞŝŽ�ĂŵďŝĞŶƚĞ͕�ŶŽƐ�ĐĂƐŽƐ�Ğŵ�ƋƵĞ�Ă�ŝŶĨƌĂĕĆŽ�ƐĞũĂ�ĐŽŵĞƟĚĂ�ƉŽƌ�ĚĞĐŝƐĆŽ�ĚĞ�ƐĞƵ�ƌĞƉƌĞƐĞŶƚĂŶƚĞ�
ůĞŐĂů�ŽƵ�ĐŽŶƚƌĂƚƵĂů�ŽƵ�ĚĞ�ƐĞƵ�ſƌŐĆŽ�ĐŽůĞŐŝĂĚŽ͕�ŽƵ�ŝŶƚĞƌĞƐƐĞ�ŽƵ�ďĞŶĞİĐŝŽ�ĚĞ�ƐƵĂ�ĞŶƟĚĂĚĞ͘͟
ϱϯ�^��s��Z�͕�'ŝŽǀĂŶŝ��ŐŽƐƟŶŝ͘�ΗZĞŇĞdžƁĞƐ�ŝŶŝĐŝĂŝƐ�ƐŽďƌĞ�Ž�ĐŽŶƚƌŽůĞ�ƉĞŶĂů�ĚŽƐ�ĚĞǀĞƌĞƐ�ĚĞ�ĐŽŵƉůŝĂŶĐĞΗ͘ In: �ŽůĞƟŵ�
do IBCCRIM n. 226. São Paulo: RT, setembro/2011, p. 13/14.
ϱϰ��Ɛ�ƉƌŝŶĐŝƉĂŝƐ�ŽďƌŝŐĂĕƁĞƐ�ĚĞ�ĐŽůĂďŽƌĂĕĆŽ�ĂŶƟůĂǀĂŐĞŵ�ƉŽĚĞŵ�ƐĞƌ�ĂƐƐŝŵ�ƌĞƐƵŵŝĚĂƐ͗�ŝĚĞŶƟĮĐĂĕĆŽ�ĚŽ�ĐůŝĞŶƚĞ͖�ŵĂ-
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2008, p. 42.
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ZĞŶĂƚŽ�ĚĞ�DĞůůŽ�:ŽƌŐĞ͘�Η��ƉĂƌƟĐƵůĂƌ� ŝŵƉƵƚĂĕĆŽ�ƉĞŶĂů�ĚŽ�ĂŐĞŶƚĞ�ĮŶĂŶĐĞŝƌŽ�ŶŽƐ�ĐƌŝŵĞƐ�ĚĞ�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽΗ͘�
Revista de Direito Bancário e do Mercado de Capitais, v. 54. Outubro/2011, p. 237 e BARROS, Marco Antonio de. 
>ĂǀĂŐĞŵ�ĚĞ�ĐĂƉŝƚĂŝƐ�Ğ�ŽďƌŝŐĂĕƁĞƐ�ĐŝǀŝƐ�ĐŽƌƌĞůĂƚĂƐ͘ São Paulo: RT, 2008, p. 58.
ϲϯ�EĞƐƚĞ� ƐĞŶƟĚŽ͗�WZ��K͕� >Ƶŝnj�ZĞŐŝƐ͘� ΗK�ŶŽǀŽ� ƚƌĂƚĂŵĞŶƚŽ�ƉĞŶĂů�ĚĂ� ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ� ;>Ğŝ�ϭϮ͘ϲϴϯͬϮϬϭϮͿΗ͘ In: 
Revista dos Tribunais v. 926. São Paulo: RT, dezembro/2012, p. 427.
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prema Corte norte-americana. ^ƉƵƌƌ�ĞƌĂ�ƉƌĞƐŝĚĞŶƚĞ�ĚŽ��ŽŵŵĞƌĐŝĂů��ĂŶŬ�ŽĨ�EĂƐŚǀŝůůĞ�Ğ�ƚĞƌŝĂ�ĐĞƌƟĮĐĂĚŽ�Ă�ĞdžŝƐƚġŶĐŝĂ�
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precedente mais lembrado é o hŶŝƚĞĚ�^ ƚĂƚĞƐ�ǀƐ͘�:ĞǁĞůů͕�ŶŽ�ƋƵĂů�ĞƐƚĞ�ƷůƟŵŽ�ƚĞƌŝĂ�ĂůĞŐĂĚŽ�ŝŐŶŽƌĂƌ�ĞƐƚĂƌ�ƚƌĂŶƐƉŽƌƚĂŶĚŽ�
ĞŶƚŽƌƉĞĐĞŶƚĞƐ�Ğ�ĚŝŶŚĞŝƌŽ͕�ŵĞƐŵŽ�ƉŽƐƐƵŝŶĚŽ�Ğŵ�ƐĞƵ�ĐĂƌƌŽ�ƉĂƌƟĐƵůĂƌ�Ƶŵ�ĐŽŵƉĂƌƟŵĞŶƚŽ�ĚĞ�ĨƵŶĚŽ�ĨĂůƐŽ͘��Ĩ͘ ����<͕�
&ƌĂŶĐŝƐ͘Η���ĚŽƵƚƌŝŶĂ�ĚĂ�ĐĞŐƵĞŝƌĂ�ĚĞůŝďĞƌĂĚĂ�Ğ�ƐƵĂ�;ŝŶͿ�ĂƉůŝĐĂďŝůŝĚĂĚĞ�ĂŽ�ĐƌŝŵĞ�ĚĞ�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽΗ͘ In: Revista de 
Estudos Criminais n. 41. São Paulo: ITEC, abril/2011, p. 49/50.
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cer ŽƵ� ĂŐĞŶƚĞ� ĞĐŽŶƀŵŝĐŽͲĮŶĂŶĐĞŝƌŽͿ� ŽƉƚĂ� ƉĞůĂ� ŝŐŶŽƌąŶĐŝĂ� ĐŽŶĨŽƌƚĄǀĞů͕�
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do sol͘��ŵ�ďŽŵ�ƉŽƌƚƵŐƵġƐ͕�Ž�ŐĂƌĂŶƚĞ�ŽƵ�ƋƵĞŵ�ƐĞ�ĞŶĐŽŶƚƌĞ�ŶĞƐƚĂ�ƉŽƐŝĕĆŽ�
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ainda que com base em dolo eventual. 
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va n. 97, de 04.12.2001, ambas do Conselho da Comunidade Europeia, 
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ĮƐƐŝŽŶĂŝƐ�ĨŽƌĞŶƐĞƐ͕�ƐŽďƌĞƚƵĚŽ�ŶŽƚĄƌŝŽƐ�Ğ�ĂĚǀŽŐĂĚŽƐ͕�ĞƐƚĞƐ�ƷůƟŵŽƐ�ĞdžƉƌĞƐ-
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;ƚƌĂŶƐĂĕƁĞƐ�ĮŶĂŶĐĞŝƌĂƐ�Ğ�ĞŵƉƌĞƐĂƌŝĂŝƐͿ�ŽƵ�ĐŽŶƐƵůƚĂƐ�ũƵƌşĚŝĐĂƐ͕�ĞdžĐůƵşĚŽ�Ž�
ĚĞǀĞƌ�ĚĞ�ĐŽůĂďŽƌĂĕĆŽ�ƋƵĂŶĚŽ�ĚĂ�ĂƚƵĂĕĆŽ�Ğŵ�ƉƌŽĐĞƐƐŽƐ�ũƵĚŝĐŝĂŝƐ͘��
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ŵĞŶƚŽ͕�ŶĆŽ�ĞƐƚĄ�Ž�ĂĚǀŽŐĂĚŽ�ŽďƌŝŐĂĚŽ�Ă�ĐŽŵƵŶŝĐĂƌ͕ �ŶĆŽ�ƐĞ�ĞdžŝŐŝŶĚŽ�ƚĂŵďĠŵ�ƋƵĞ�Ž�ĂĚǀŽŐĂĚŽ�ĂďĂŶĚŽŶĞ�Ă�ĐŽůĂďŽƌĂ-
ĕĆŽ�ĐŽŵ�Ž�ĐůŝĞŶƚĞ͕�ĂƉĞŶĂƐ�ƋƵĞ�ƌĞĂůŝnjĞ�Ă�ĐŽŵƵŶŝĐĂĕĆŽ͘�EĞƐƚĞ�ƐĞŶƟĚŽ͗���E�^͕�sŝƚĂůŝŶŽ͘�KƉ͘�Đŝƚ͘, p. 61.
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ĚŝƐƉŽŶşǀĞů�Ğŵ͗�ŚƩƉ͗ͬͬǁǁǁ͘ůĨŐ͘ĐŽŵ͘ďƌ. Acesso em 01.05.2013.
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75 �Ĩ͘ �^�E�,��Z/K^͕�ZŽĚƌŝŐŽ͘��ŝƌĞŝƚŽ�ƉĞŶĂů�ĞĐŽŶƀŵŝĐŽ͗�ĂĚǀŽĐĂĐŝĂ�Ğ�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ͗�ƋƵĞƐƚƁĞƐ�ĚĞ�ĚŽŐŵĄƟĐĂ�
ũƵƌşĚŝĐŽͲƉĞŶĂů�Ğ�ĚĞ�ƉŽůşƟĐĂ�ĐƌŝŵŝŶĂů. São Paulo: Saraiva, 2010, p. 219.
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şĚĂ� ĚĂƐ� ĐŝƌĐƵŶƐƚąŶĐŝĂƐ� ƋƵĞ� ĞŶǀŽůǀĞŵ� Ă� ;ĚĞƐͿƉƌŽƉŽĐŝŽŶĂůŝĚĂĚĞ� ĞŶƚƌĞ� Ž�
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ͲĂŵĞƌŝĐĂŶĂ͘���ĞdžŝŐġŶĐŝĂ�ĚĞ�Ƶŵ�ŵşŶŝŵŽ�ĚĞ�ĐĂƵƚĞůĂ�ŶĞƐƚĞ�ĂƐƉĞĐƚŽ�ŶĆŽ�ĨĂnj�
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ĐůŝĞŶƚĞ�Ğ�ƐĞ�ŵŽƐƚƌĂ�ƌĂnjŽĄǀĞů͕�ĚĞƐĚĞ�ƋƵĞ�ƌĞĂů�ŽƵ�ƌŽďƵƐƚĂŵĞŶƚĞ�ƉŽƐƐşǀĞů�Ž�
acesso a este conhecimento. 
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ƉƌŽďĂďŝůŝĚĂĚĞ�ĚĞ�ƋƵĞ�ŽƐ�ǀĂůŽƌĞƐ�ƌĞĐĞďŝĚŽƐ�ƉƌŽǀŝŶŚĂŵ�ĚĞ�ŝůşĐŝƚŽƐ�ƉĞŶĂŝƐ͕�
ƚŽƌŶĂͲƐĞ�ůĞŐşƟŵĂ�Ă�ƉĞƌƐĞĐƵĕĆŽ͕�ƉĞůŽ��ƐƚĂĚŽ͕�ĚŽƐ�ďĞŶƐ�Ğ�ƌĞĐƵƌƐŽƐ�ƋƵĞ�ƐĞƌ-
ǀŝƌĂŵ�ƉĂƌĂ�Ž�ƉĂŐĂŵĞŶƚŽ�ĚĂ�ǀĞƌďĂ�ŚŽŶŽƌĄƌŝĂ͕� ƐƵũĞŝƚĂŶĚŽͲƐĞ�Ž�ĂĚǀŽŐĂĚŽ�
ĂŽƐ�ĞĨĞŝƚŽƐ�ĚĂƐ�ŵĞĚŝĚĂƐ�ƉĂƚƌŝŵŽŶŝĂŝƐ�ĂƐƐĞĐƵƌĂƚſƌŝĂƐ�ůĞŐĂůŵĞŶƚĞ�ƉƌĞǀŝƐƚĂƐ�
;ďƵƐĐĂ�Ğ�ĂƉƌĞĞŶƐĆŽ͕�ƐĞƋƵĞƐƚƌŽ͕�ĂƌƌĞƐƚŽ�Ğ�ŚŝƉŽƚĞĐĂ�ůĞŐĂůͿ͕�ďĞŵ�ĐŽŵŽ�ă�ĨƵ-
tura perda do montante auferido78. 
ƉĂŐĂŵĞŶƚŽ�;Ğŵ�ĞƐƉĠĐŝĞͿ͘��Ĩ͘ �^�,KZ^��Z͕�sŝǀŝĂŶ��͘�Η��ƌĞƐƉŽŶƐĂďŝůŝĚĂĚĞ�ƉĞŶĂů�ĚŽ�ĂĚǀŽŐĂĚŽ�ŶĂ�ůĂǀĂŐĞŵ�ĚĞ�ĚŝŶŚĞŝƌŽ͗�
ƉƌŝŵĞŝƌĂƐ�ŽďƐĞƌǀĂĕƁĞƐΗ͘�In: Revista dos Tribunais v. 863. São Paulo: RT, setembro/2007, p. 441.
77��D�K^͕�<Ăŝ͘�KƉ͘�Đŝƚ., p. 85.
ϳϴ��Ĩ͘ �^�,KZ^��Z͕�sŝǀŝĂŶ��͘�KƉ͘�Đŝƚ͕͘ p. 445.
\R. EMERJ, Rio de Janeiro, v. 17, n. 64, p. 164- 186, jan. - abr. 2014\184
��ŽƵƚƌĂ�ĐŽŶƐĞƋƵġŶĐŝĂ�ƌĞĨĞƌĞͲƐĞ�ă�ĂĮƌŵĂĕĆŽ�ĚĞ�ƋƵĞ͕�ƚĂŵďĠŵ�ƐĞŐƵŝŶ-
ĚŽ�Ă�ůŝŶŚĂ�ũĄ�ĚĞĮŶŝĚĂ�ƉĞůĂ�ũƵƌŝƐƉƌƵĚġŶĐŝĂ�ĂůĞŵĆ�Ğ�ƉĞůĂ�ŶŽƌƚĞͲĂŵĞƌŝĐĂŶĂ͕�Ž�
direito de escolha do defensor não é absoluto, assim como não o é nenhum 
ŽƵƚƌŽ�ĚŝƌĞŝƚŽ� ĨƵŶĚĂŵĞŶƚĂů͘� >ŽŐŽ͕�Ă�ƉŽƐƐŝďŝůŝĚĂĚĞ�ĚĞ�ĞůĞŝĕĆŽ�ĚŽ�ĂĚǀŽŐĂĚŽ�
ƉĞůŽ�ŝŶǀĞƐƟŐĂĚŽ�ĞƐƚĄ�ĐŽŶĚŝĐŝŽŶĂĚĂ�ă�ƉŽƐƐŝďŝůŝĚĂĚĞ�ĚĞƐƚĞ�ĚĞ�ƉĂŐĂƌ�ŽƐ�ƌĞƐ-
ƉĞĐƟǀŽƐ�ŚŽŶŽƌĄƌŝŽƐ�ĐŽŵ�ƌĞĐƵƌƐŽƐ�ĚĞ�ŽƌŝŐĞŵ�ĐŽŵƉƌŽǀĂĚĂŵĞŶƚĞ�ůşĐŝƚĂ͕�ƐĂůǀŽ�
ĂĐĞŝƚĂĕĆŽ�ĚĞ�ĂƚƵĂĕĆŽ�ŐƌĂƚƵŝƚĂ�ƉĞůŽ�ĐĂƵƐşĚŝĐŽ�ĞƐĐŽůŚŝĚŽ͘��ĂƐŽ�ĐŽŶƚƌĄƌŝŽ͕�ĚĞǀĞ�
ƐĞƌ�Ž� ŝŶǀĞƐƟŐĂĚŽ�ĞƋƵŝƉĂƌĂĚŽ�ĂŽ�ŚŝƉŽƐƐƵĮĐŝĞŶƚĞ͕�ƐĞŶĚŽͲůŚĞ�ŶŽŵĞĂĚŽ�ĚĞ-
ĨĞŶƐŽƌ�ƉƷďůŝĐŽ�ŽƵ�ĂĚǀŽŐĂĚŽ�ĚĂƟǀŽ�ƉĂƌĂ�ĂƚƵĂƌ�Ğŵ�ƐĞƵ�ĨĂǀŽƌ79. 
/ŶƚĞƌƉƌĞƚĂĕĆŽ�ĚŝƐƟŶƚĂ�ƌĞƐƵůƚĂƌŝĂ�ŶĂ�ŝŶƐƟƚƵĐŝŽŶĂůŝnjĂĕĆŽ�ĚŽ�ĚŝƌĞŝƚŽ�ĚĞ�
ƉĂŐĂƌ�Ğ�ƌĞĐĞďĞƌ�ŚŽŶŽƌĄƌŝŽƐ�ŵĂĐƵůĂĚŽƐ�ŽƵ͕�ĐŽŵ�ĞdžĐůƵƐĆŽ�ĚŽ�ĞƵĨĞŵŝƐŵŽ͕�
ĐƵƐƚĞĂĚŽƐ�ĐŽŵ�ĚŝŶŚĞŝƌŽ�ƐƵũŽ͘��ĚĞŵĂŝƐ͕�Ă�ŝŶĚĞƉĞŶĚġŶĐŝĂ�Ğ�Ă�ůŝďĞƌĚĂĚĞ�ĚŽ�
ĞdžĞƌĐşĐŝŽ� ĂĚǀŽĐĂơĐŝŽ� ƚĂŵďĠŵ�ĚĞŝdžĂƌŝĂŵ� ĚĞ� ĞdžŝƐƟƌ� ƐĞ� ĂĚŵŝƟĚŽ� Ž� ƉĂŐĂ-
ŵĞŶƚŽ�ĚĞ�ŚŽŶŽƌĄƌŝŽƐ�ŵĂĐƵůĂĚŽƐ͕�ŚĂũĂ�ǀŝƐƚĂ�ƋƵĞ�Ž�ĂĚǀŽŐĂĚŽ�ƐĞ�ƚŽƌŶĂƌŝĂ�
ĚĞƉĞŶĚĞŶƚĞ�ĚŽ�ĐƌŝŵĞ�ŽƌŐĂŶŝnjĂĚŽ͘��ůŝĄƐ͕�Ă�ƉƌŽŝďŝĕĆŽ�ĚĞ�ƌĞĐĞďĞƌ�ƌĞĐƵƌƐŽƐ�
ĚĞ�ŽƌŝŐĞŵ�ŝůşĐŝƚĂ�ƌĞĐĂŝ�ƐŽďƌĞ�ƚŽĚŽƐ�Ğ�ŶĆŽ�ĂƉĞŶĂƐ�ƐŽďƌĞ�Ž�ĂĚǀŽŐĂĚŽ80. 
EĂ�ũƵƌŝƐƉƌƵĚġŶĐŝĂ�ŶŽƌƚĞͲĂŵĞƌŝĐĂŶĂ͕�ƌĞŐŝƐƚƌĂŵͲƐĞ�ŚĄ�ĚĠĐĂĚĂƐ�ůŽƵǀĄ-
ǀĞŝƐ�ƌĞĂĮƌŵĂĕƁĞƐ�ĚŽ�ĚĞƐĐĂďŝŵĞŶƚŽ�ĚĞ�ĞdžĐĞĕĆŽ�ƋƵĂŶƚŽ�ĂŽ�ĂĚĄŐŝŽ�ƐĞŐƵŶĚŽ�
Ž�ƋƵĂů�Ž�ĐƌŝŵĞ�ŶĆŽ�ĚĞǀĞ�ĐŽŵƉĞŶƐĂƌ͕ �ŶĞŵ�ŵĞƐŵŽ�ƉĂƌĂ�ƉĂŐĂƌ�Ž�ƐĞƌǀŝĕŽ�ĚĞ�
ĂĚǀŽŐĂĚŽƐ81. Sendo assim, de lege ferenda82, não se vislumbra empecilho83 
ĂŽ�ĞƐƚĂďĞůĞĐŝŵĞŶƚŽ�ĚĂ�ĞdžŝŐġŶĐŝĂ�ůĞŐĂů�ĚĞ�ĚĞĐůĂƌĂĕĆŽ�ĚŽ�ǀĂůŽƌ�ƌĞĐĞďŝĚŽ�Ă�
ϳϵ�^�,KZ^��Z͕�sŝǀŝĂŶ��͘�KƉ͘�Đŝƚ͕͘ p. 442/443.
ϴϬ�:Ą�ƐĞ�ŽƵǀŝƵ͕�ĐŽŵ�ŝŶĚŝƐĨĂƌĕĄǀĞů�ĞdžĐĞƐƐŽ�ŝƌƀŶŝĐŽ͕�Ă�ŝŶĚĂŐĂĕĆŽ�ƐŽďƌĞ�Ž�ĞǀĞŶƚƵĂů�ĞŶƋƵĂĚƌĂŵĞŶƚŽ�ĚĞ�Ƶŵ�ǀĞŶĚĞĚŽƌ�
ĂŵďƵůĂŶƚĞ�ƋƵĞ�ƌĞĐĞďĞ�ƉĂŐĂŵĞŶƚŽ�ƉŽƌ�Ƶŵ�ƉŝĐŽůĠ�ǀĞŶĚŝĚŽ�Ă͕�ƉŽƌ�ĞdžĞŵƉůŽ͕�Ƶŵ�ĐŽŶŚĞĐŝĚŽ�ŶĂƌĐŽƚƌĂĮĐĂŶƚĞ�ŽƵ�ĞdžƉůŽƌĂ-
ĚŽƌ�ĚĞ�ũŽŐŽ�ŝůĞŐĂů͘�>ŽŐŝĐĂŵĞŶƚĞ͕�Ž�ƉƌŝŶĐşƉŝŽ�ĚĂ�ŝŶƐŝŐŶŝĮĐąŶĐŝĂ�ĂĨĂƐƚĂƌŝĂ�Ž�ĞŶƋƵĂĚƌĂŵĞŶƚŽ�ĐŝƚĂĚŽ͕�Ž�ƋƵĞ�ŶĆŽ�ƐĞ�ĂƉůŝĐĂ�
ĂŽ�ĂĚǀŽŐĂĚŽ�Ğ�ƉƌŽĮƐƐŝŽŶĂŝƐ�ĚŽ�ŵĞƌĐĂĚŽ�ĮŶĂŶĐĞŝƌŽ͕�ĐƵũŽ�ĐƵƐƚŽ�ĚŽƐ�ƐĞƌǀŝĕŽƐ�Ğ�ƉŽƐƐŝďŝůŝĚĂĚĞ�ĚĞ�ŝŶĨŽƌŵĂĕĆŽ�ƐŽďƌĞ�Ă�
ŽƌŝŐĞŵ�ĚŽƐ�ďĞŶƐ�ƐĆŽ�ĞǀŝĚĞŶƚĞŵĞŶƚĞ�ĚŝĨĞƌĞŶĐŝĂĚŽƐ͘�
81 Do precedente da Suprema Corte norte-americana (h^�ǀ͘�WĞƚĞƌ�DŽŶƐĂŶƚŽ͕�ũƵůŐĂĚŽ�Ğŵ�ϮϮ͘Ϭϲ͘ϭϵϴϵͿ͕�ĞdžƚƌĂŝͲƐĞ�Ž�ƐĞ-
ŐƵŝŶƚĞ�ƚƌĞĐŚŽ͗�͞ tĞ�ĐŽŶĐůƵĚĞ�ƚŚĂƚ�ƚŚĞƌĞ�ŝƐ�ŶŽ�ĞdžĞŵƉƟŽŶ�ĨƌŽŵ�Α�ϴϱϯ͛Ɛ�ĨŽƌĨĞŝƚƵƌĞ�Žƌ�ƉƌĞƚƌŝĂů�ƌĞƐƚƌĂŝŶŝŶŐ�ŽƌĚĞƌ�ƉƌŽǀŝƐŝŽŶƐ�
ĨŽƌ�ĂƐƐĞƚƐ�ǁŚŝĐŚ�Ă�ĚĞĨĞŶĚĂŶƚ�ǁŝƐŚĞƐ�ƚŽ�ƵƐĞ�ƚŽ�ƌĞƚĂŝŶ�ĂŶ�ĂƩŽƌŶĞLJ͘�/Ŷ�ĞŶĂĐƟŶŐ�Α�ϴϱϯ͕��ŽŶŐƌĞƐƐ�ĚĞĐŝĚĞĚ�ƚŽ�ŐŝǀĞ�ĨŽƌĐĞ�
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\R. EMERJ, Rio de Janeiro, v. 17, n. 64, p. 164- 186, jan. - abr. 2014\ 185
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comumente na Europa.
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WĞŶĂůΗ. In: /ŶŽǀĂĕƁĞƐ�ŶŽ�ĚŝƌĞŝƚŽ�ƉĞŶĂů�ĞĐŽŶƀŵŝĐŽ͗�ĐŽŶƚƌŝďƵŝĕƁĞƐ�ĐƌŝŵŝŶŽůſŐŝĐĂƐ͕�ƉŽůşƟĐŽ�ĐƌŝŵŝŶĂŝƐ�Ğ�ĚŽŐŵĄƟĐĂƐ͘ 
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ϴϲ��� >Ğŝ� Ŷ͘� ϭϮ͘ϱϮϳͬϮϬϭϭ�ƉŽƐƐŝďŝůŝƚĂ�Ž� ĂŵƉůŽ�ĂĐĞƐƐŽ�ă� ŝŶĨŽƌŵĂĕĆŽ� ƐŽďƌĞ�Ă� ƌĞŶĚĂ�ŵĞŶƐĂů� ĚĞ�ĂŐĞŶƚĞƐ�ƉƷďůŝĐŽƐ�ĚĞ�
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quando não nocivo, bem como de interesses escusos impublicáveis, para 
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