General Directorate of Research and Innovation Resolution No. 001-2024-SMV/12.1

PERÚ Ministry of Economy and Finance

SMV Superintendency of the Securities Market "Decade of Equal Opportunities for Women and Men" "Year of the Bicentennial, of the consolidation of our Independence, and of the commemoration of the heroic battles of Junín and Ayacucho" Electronically signed document within the framework of Law No. 27269, Law of Digital Signatures and Certificates, its regulations and modifications. The integrity of the document and the authorship of the signature(s) can be verified at https://apps.firmaperu.gob.pe/web/validador.xhtml

General Directorate of Research and Innovation Resolution No. 001-2024-SMV/12.1 Lima, June 28, 2024

The General Superintendent of Research and Innovation

SEEN:

File No. 2024010468 initiated by Proyecto Crowd Sociedad Administradora de Plataforma de Financiamiento Participativo Financiero S.A.C., as well as Report No. 858-2024-SMV/12.1 of June 27, 2024;

CONSIDERING:

That, by Superintendency Resolution No. 063-2023-SMV/02 of August 18, 2023, the operation of Proyecto Crowd Sociedad Administradora de Plataforma de Financiamiento Participativo Financiero S.A.C. was authorized to act as the Administrator Society of a Participatory Financial Financing Platform;

That, Article 22 of the Norms for the Prevention of Money Laundering and/or Financing of Terrorism, approved by Conasev Resolution No. 033-2011-EF/94.01.1 and its modifications, established the procedure and requirements for the approval of the request for exemption from the obligation to designate a full-time exclusive compliance officer;

That, through writings submitted until April 9, 2024, Proyecto Crowd Sociedad Administradora de Plataforma de Financiamiento Participativo Financiero S.A.C. requested the Superintendency of the Securities Market for exemption from the obligation to designate a full-time exclusive compliance officer;

That, by Letter No. 39963-2024-SBS, received on June 24, 2024, the Financial Intelligence Unit of Peru (UIF-Peru) granted its approval to the request made by Proyecto Crowd Sociedad Administradora de Plataforma de Financiamiento Participativo Financiero S.A.C.;

That, from the evaluation of the documentation presented, it has been determined that Proyecto Crowd Sociedad Administradora de Plataforma de Financiamiento Participativo Financiero S.A.C. has complied with what is established in Article 22 of the Norms for the Prevention of Money Laundering and Financing of Terrorism, as well as with what is stated in the Single Text of Administrative Procedures of the Superintendency of the Securities Market, approved by Superintendant Resolution No. 023-2015-SMV/02, in order to obtain authorization for the exemption from the obligation to designate a full-time exclusive compliance officer, as developed in Report No. 858-2024-SMV/12.1 of June 27, 2024; and,

Being in accordance with what is established in Article 53, numeral 11, section xi of the Regulations on Organization and Functions of the Superintendency of the Securities Market, approved by Supreme Decree No. 216-2011-EF and modified by Superintendant Resolution No. 026-2022-SMV/02.

IT IS RESOLVED:

Article 1st.- Authorize Proyecto Crowd Sociedad Administradora de Plataforma de Financiamiento Participativo Financiero S.A.C. to have a part-time non-exclusive compliance officer.

Article 2nd.- Proyecto Crowd Sociedad Administradora de Plataforma de Financiamiento Participativo Financiero S.A.C. must present, within the thirty (30) business days prior to the fulfillment of twelve (12) months from the date of notification of this resolution, a technical report containing the evaluation of the aspects indicated in Article 22, numeral 22.2, of the Norms for the Prevention of Money Laundering and/or Financing of Terrorism, in order to evaluate whether the conditions that gave merit to the authorization are maintained.

Article 3rd.- Order the dissemination of this resolution on the Institutional Website of the Superintendency of the Securities Market on the Unique Digital Platform of the Peruvian State (www.gob.pe/smv).

Article 4th.- Transcribe this resolution to Proyecto Crowd Sociedad Administradora de Plataforma de Financiamiento Participativo Financiero S.A.C. and to the Financial Intelligence Unit of Peru (UIF-Peru).

Register, communicate and publish.

Daniel Alonso García López General Superintendent General Directorate of Research and Innovation