Adjunct Superintendent Resolution on Prudential Supervision No. 010-2025-SMV/10

PERU Ministry of Economy and Finance

SMV
Securities Market
Superintendence
"Decade of Equal Opportunities for Women and Men" "Year of recovery and consolidation of the Peruvian economy" Electronically signed document within the framework of Law No. 27269, Law of Digital Signatures and Certificates, its regulations and amendments. The integrity of the document and the authorship of the signature(s) can be verified at https://apps.firmaperu.gob.pe/web/validador.xhtml Adjunct Superintendent Resolution SMV No. 010-2025-SMV/10 Lima, February 18, 2025 Regulated Entity: Autoplan Collective Fund Administrator S.A. Subject: Administrative sanctioning procedure File No.: 2024022908 The Adjunct Superintendent of Prudential Supervision SEEN:
The administrative file No. 2024022908.
CONSIDERING:
By Office No. 2220-2024-SMV/10.3, notified on May 22, 2024, an administrative sanctioning procedure was initiated against Autoplan Collective Fund Administrator S.A. (hereinafter, AUTOPLAN) for alleged infractions to the regulations governing the collective fund system; On May 31, 2024, AUTOPLAN requested an extension of deadlines to present its defenses, which was granted via Office No. 2404-2024-SMV/10.3, notified on June 4, 2024; Through Report No. 247-2025-SMV/10.3 dated February 18, 2025, the General Intendancy of Prudential Compliance submitted to this Adjunct Superintendency the report containing the proposal for the qualification of the proven conduct as constituting infractions by AUTOPLAN and the respective sanction proposal; By Office No. 940-2025-SMV/10 dated February 18, 2025, this Adjunct Superintendency informed AUTOPLAN that the aforementioned file is in this office for resolution; this with the purpose that the regulated entity, as part of its right to defense, if deemed pertinent, formulate additional allegations;
Article 259, numeral 1, of the Single Consolidated Text of Law No. 27444 - General Administrative Procedure Law, states that the deadline to resolve sanctioning procedures initiated ex officio is nine (09) months counted from the date of notification of the charge imputation, a deadline that may be exceptionally extended by a maximum of three (03) months;

PERU Ministry of Economy and Finance

SMV
Securities Market
Superintendence
"Decade of Equal Opportunities for Women and Men" "Year of recovery and consolidation of the Peruvian economy" Electronically signed document within the framework of Law No. 27269, Law of Digital Signatures and Certificates, its regulations and amendments. The integrity of the document and the authorship of the signature(s) can be verified at https://apps.firmaperu.gob.pe/web/validador.xhtml In that sense, with the purpose of better resolving the complexity of the present case in which the possible commission of serious infractions referred to the affectation of protected legal interests in the collective fund system by AUTOPLAN is discussed, in application of the aforementioned article 259, numeral 1, it corresponds to exceptionally extend the deadline for the resolution of the present administrative sanctioning procedure against AUTOPLAN; Being in accordance with what is provided by Article 32, numeral 16, of the Organization and Functions Regulation of the SMV, approved by Supreme Decree No. 216-2011-EF. RESOLVES:
Article 1st.- Exceptionally extend by an additional period of three (03) months, the term for the resolution of the present administrative sanctioning procedure initiated against Autoplan Collective Fund Administrator S.A.
Article 2nd.- Transcribe this resolution to Autoplan Collective Fund Administrator S.A.
Register and communicate.
Omar Gutiérrez Ochoa
Adjunct Superintendent
Adjunct Superintendency of Prudential Supervision