REF:
AMENDS GENERAL
RULING No. 571 OF 2026 THAT
ESTABLISHES
THE
COMPENDIUM
OF REGULATIONS
OF
STOCK EXCHANGES
AND
INTERMEDIARIES.

---

GENERAL RULING No. 580

4 November 2026

To all Securities Intermediaries and Commodity Exchange Brokers.
Products.

This Commission, in exercise of the powers conferred upon it by numerals 1 and 18 of article 5 of Decree Law No. 3.538 of 1980 that creates the Commission for the Financial Market, the provisions of Law No. 18.045, Law No. 19.220 and Law No. 21.521; and in accordance with the agreement of the Commission's Council in Ordinary Session No. 520 of 29 October 2026, executed by Exempt Resolution No. 12182 of 4 November 2026, has resolved to issue the following instructions to securities intermediaries and commodity exchange brokers.

I. AMEND GENERAL RULING No. 571 IN THE FOLLOWING TERMS:

a) In section I.H of Chapter 3, delete the following paragraph:

“The Commission shall request, by general ruling, that the information necessary to determine compliance with the classification of Blocks be sent, at the frequency, in the form and by the means it establishes.”

b) In section III.C of Chapter 3, delete the following paragraph:

“The Commission shall request that the information necessary to determine compliance with the classification of blocks be sent, at the frequency, in the form and by the means it establishes by general ruling.”

c) In section XI of Chapter 3, add the following new letter F:

“F. BUSINESS VOLUME AND NUMBER OF CLIENTS

Securities intermediaries and commodity exchange brokers must send to this Commission the information necessary to determine the volume, size, nature of the business and number of clients. Such information will allow their classification within the categories of business volume blocks to be established, in accordance with the provisions of sections I and III of this Chapter.

For the purposes of the content and form of submission of the information, intermediaries must follow the instructions contained in Annex I of general instructions for the submission of information and in file IVCBP01 of Annex II of regulatory files of this regulation.”

e) Incorporate into General Ruling No. 571 Annex No. 1 of this regulation, under the title “ANNEX I. GENERAL INSTRUCTIONS FOR THE SUBMISSION OF INFORMATION”.

f) Likewise incorporate Annex No. 2 of this regulation, with the title “ANNEX II. REGULATORY FILES” into General Ruling No. 571.

g) In the index of General Ruling No. 571, add at the end the following text:

“ANNEX I. GENERAL INSTRUCTIONS FOR THE SUBMISSION OF INFORMATION .................................... 99.
“ANNEX II. REGULATORY FILES…………………………………………………………….102”

II. EFFECTIVE DATE

The instructions established in this General Ruling are effective as of 1 January 2027.

CATHERINE TORNEL LEÓN
CHAIRWOMAN
COMMISSION FOR THE FINANCIAL MARKET

ANNEX No. 1

ANNEX I. GENERAL INSTRUCTIONS FOR THE SUBMISSION OF INFORMATION

A. OFFICIAL CHANNEL OF COMMUNICATION AND SUBMISSION OF INFORMATION BETWEEN THE COMMISSION AND ITS SUPERVISEES

The manner of accessing the official channel of communication and submission of information between the Commission and its supervisees, called “CMF Supervisa”, provided on the website of this Commission (www.cmfchile.cl), is regulated in NCG No. 515 or that which amends or replaces it.

B. REPORTING OF SUPERVISION INFORMATION

The supervised entity must send the requested information within the period indicated for each file. This must contain the identification of each of the records and fields required.

Submission of Balancing Cover Sheet: A file must be attached for each of the regulatory files required, which will contain the information corresponding to the Balancing Cover Sheet. The submission will be made within the same periods and through the same module used for the delivery of each of the regulatory files, via the official information channel called “CMF Supervisa”. The format of the file must conform to the instructions of the User Manual, available for consultation in the submission module of the regulatory files.

Once the Commission has received the information that the supervised entities must issue under this regulation, the authorization of this Commission will be required for its modification. The foregoing must be expressly requested by the supervised entity through the option “Resubmission Request”.

C. REVIEW AND CONFORMITY BY THE COMMISSION

To comply with the periods established in this regulation, each entity must ensure that it fully follows the instructions related to the content of the regulatory files, forms and other files that are established, since these will not be considered submitted if they contain errors. In order to determine whether the files can be accepted, and without prejudice to subsequent reviews that the Commission may carry out, this Body applies specific computational validations. This procedure does not release the entities from responsibility for the quality of the data they must submit in accordance with the legal instructions issued by the Commission. In the event that a file is rejected by the validation process, and without prejudice to the measures that the Commission may adopt in the event of non-compliance with its instructions, such situation will be communicated to the entity through the corresponding application. If the files and other requirements contain errors, the entities will be obliged to correct them within the submission period of each information requirement, following the instructions established in the User Manual. The files will not be accepted until the entity remedies all errors identified and communicated by the Commission.

D. SPECIFICATIONS OF THE CONTENT OF THE FILES

Definition of data types.

The data types used are structured in accordance with the following table:

Data type	Specification	Physical representation
RUT	R(09)VX(01)	NNNNNNNNNå
Dates	F(08)	AAAAMMDD
Periods	P(06)	AAAAMM
Numeric	9(n)	N…N (string of n digits) Right-align and pad with zeros
Character	X(n)	å…å (string of n characters) Left-align and pad with blanks (spaces)
Signed numeric	s9(n)	N…Ns (string of n digits with sign) Sign is “trailing separate”
Numeric with decimal	9(n)V9(m)	N…N,N…N (number of n digits for the integer part and m decimals)

A: year	M: month	D: day
N: numeral (0 …9)	å: alphanumeric	S: sign + or -

Record length

The files are of fixed-length records, so the first record and, in certain cases, also other records in the file will have a filler to complete the length.

First record

The first record will always contain the data that identifies the entity, the file type and the date of the period to which the information refers. In general, unless otherwise indicated in the respective instructions, the first record will have the following structure:

1. RUT …………………………………….….………………………………………………………… R9(09)VX(01)

2. File identification ……………………………………………………………… X(07)

3. Date ………………………………………………………………………………………………. F(08)

4. Filler ………………………………………………………………………………………………… X(20)

E. INFORMATION REQUIREMENT.

If the field has a length shorter than that specified in the respective file, it must be completed with space characters at the end -for those fields whose format is alphanumeric-, or preceded by zeros for fields with numeric format, in order to complete the length requested in the field in question.

In the case of decimal numbers, it must be completed with zeros at the end of the field. This criterion must also be followed if there is no information for the field, in which case it must be completed with spaces or zeros, depending on the data type, in accordance with the length of the field.

Numeric values must be reported without thousands or decimal separators, unless specifically indicated otherwise for a particular field. Dates must be reported in accordance with the format set out in the description of the respective field.

ANNEX No. 2

ANNEX II. REGULATORY FILES

Code	IVCBP01 :
Name	BUSINESS VOLUME AND NUMBER OF CLIENTS :
Frequency	Monthly :
Deadline	Within the first 10 business days of the month following the one reported

:

In this file, the information will be provided to determine the threshold of business volume and number of clients of securities intermediaries and commodity exchange brokers in accordance with the provisions of Chapter 3 of NCG No. 571, in order to establish their classification with respect to the categories of block 1, block 2 or block 3.

First record - File header

It is mandatory to report the identification record. A record of this type must be reported and it must be the first in the file.

1.	Rut of the entity ….…………………………………………………………………………. R(09)VX(01)
2.	File identification ……………………………………………………………….. X(07)
3.	Report date …………………………………………………………………………………… F(08)
4.	Filler ………………………………………………………………………………………………… X(31)
	Record length 56 bytes

1. RUT OF THE ENTITY Corresponds to the Unique Tax Role of the reporting entity, including the verification digit. It is mandatory and cannot be reported blank.

2. FILE IDENTIFICATION Corresponds to the file identification. It must be "IVCBP01".

3. REPORT DATE Report date, reported in YYYYMMDD format.

Record 01: Business volume and number of clients

The figures must be reported as of the last day of the month being reported. For those amounts in foreign currency, consider the exchange rate at the close of the day. A single record will be reported. For derivative instruments, the notional amount must be considered.

1. Record type ………………………………………………………………………………….	9(02)
2. Income 12 months ……………………………………………………………………………….	9(15)
3. Number of active clients …………………………………………………………………	9(09)
4. Total amount of assets under custody .……………………………………………………	9(15)
5. Total amount of transactions ………………………………………………………………	9(15)
	Record length 56 Bytes

1. RECORD TYPE

Corresponds to the code that identifies the record type. It must be "01".

2. INCOME 12 MONTHS

Corresponds to the sum of the income obtained in the last 12 months, expressed in Unidades de Fomento (UF). For its calculation, the monthly income must be determined using the UF in effect on the last day of each month and then these values must be added.

In the case of securities intermediaries, the sum of the following accounts must be considered, provided that the amount reported in each one is positive:

• Total Result from intermediation (Account code 30.10.00)

• Total Income from services (Account code 30.20.00)

• Total Result from financial instruments (Account code 30.30.00)

In the case of product exchange brokers, the sum of the following accounts must be considered, provided that the amount reported in each one is positive:

• Total Result from intermediation (Account code 30.10.00)

• Total Income from services (Account code 30.20.00)

• Total Result from products (Account code 30.30.00)

• Total Result from financial instruments of the securities market (Account code 30.40.00)

In the event that any of these accounts yields a negative value, said account will not be included in the sum. For example, in the case of securities intermediaries, if the "Total Result from Financial Instruments" is negative, but the other accounts are positive, the amount to be reported will be only the sum of "Total Result from intermediation" and "Total Income from services".

3. NUMBER OF ACTIVE CLIENTS

Corresponds to the total number of active clients according to the definition in section I of Chapter 3 of NCG No. 571.

4. TOTAL AMOUNT OF ASSETS UNDER CUSTODY Corresponds to the daily average of the last 12 months of the amount of assets under custody by the intermediary, at their quotation value or fair value. The daily average of the last 12 months must be calculated in UF. For this, the total amount of assets under custody of each day must be determined using the UF in effect on each day.

5. TOTAL AMOUNT OF TRANSACTIONS Corresponds to the daily average of the last 12 months of the amount of transactions carried out by the intermediary, for its own-account and third-party operations. The daily average of the last 12 months must be calculated in UF, considering only business days. For this, the total amount of transactions of each day must be determined using the UF in effect on each day.

Balancing cover page

The IVCBP01 file must be submitted with a balancing cover page whose model is specified below:

Entity's Tax Identification Number (RUT)
Information corresponding to the Period
File	IVCBP01
Total number of records reported in record 01