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General Superintendency Resolution of the Intendancy No. 028-2024-SMV/11.1

Lima, 10 de abril de 2024

The General Superintendent of Conduct Supervision

Vistos:

File No. 2024009259, as well as Internal Report No. 452-2024-SMV/11.1 of 10 April 2024, from the General Intendancy of Conduct Supervision of the Deputy Superintendency of Market Conduct Supervision.

Considerando:

Whereas, Law No. 28739, the Law Promoting the Exchange or Redemption of Investment Shares, established the legal framework for promoting the exchange or redemption of investment shares; assigning the Superintendency of the Stock Market – SMV the regulation of the procedure to be followed by companies that decide to make said public offers, as well as the creation of a registry of appraisal entities and the rules to which such entities were to be subject;

Whereas, through Resolution CONASEV No. 060-2006-EF/94.10, the Regulations of the Law Promoting the Exchange or Redemption of Investment Shares were approved and the section "On Appraisal Entities covered by Law No. 28739" was created in the Public Registry of the Stock Market; additionally, Chapter VII, referring to "Appraisal Entities covered by Law No. 28739", was incorporated into Title II of the Regulations of the Public Registry of the Stock Market, approved by Resolution CONASEV No. 079-97-EF/94.10, determining the requirements that companies interested in obtaining their registration to act as appraisal entities must meet;

Whereas, through a document submitted on 04 March 2024, Planifica Asesoría Financiera S.A.C., represented by its General Manager, Mr. Daniel Epifanio Quevedo Zúñiga, requested the Superintendency of the Stock Market – SMV its registration in the Public Registry of the Stock Market as an appraisal entity covered by the Law Promoting the Exchange or Redemption of Investment Shares;

Whereas, through a document submitted on 09 April 2024, Planifica Asesoría Financiera S.A.C. completed the submission of the documentation and information required by the Law Promoting the Exchange or Redemption of Investment Shares

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of Investment, the Regulation of the Public Registry of the Securities Market, as well as by Managerial Resolution No. 59-2006-EF/94.45;

That, by virtue of the provisions of article 4 of CONASEV Resolution No. 60-2006-EF/94.10, as a consequence of its registration in the Public Registry of the Securities Market, Planifica Asesoría Financiera S.A.C. must subject itself to the provisions contained in Law No. 28739 and its Regulation; likewise, it is obliged to update the information contained in its registration file;

That, article 7, numeral 14, of the Policy on Dissemination of Regulatory Projects, General Legal Norms, Early Agenda and Other Administrative Acts of the SMV, approved by SMV Resolution No. 014-2014-SMV/01 and its amendments, establishes that the administrative decision that, in the opinion of the decision-making body, generates the effects provided for in article 5 of said resolution, that is, that in addition to its particular scope, it has a general effect with respect to an indeterminate set of persons or whose rights may be affected, must be disseminated through the SMV Institutional Page on the Single Digital Platform of the Peruvian State for Citizen Orientation (www.gob.pe/smv); and,

In accordance with the provisions of article 13 and following of the Single Ordered Text of the Securities Market Law, approved by Supreme Decree No. 020-2023-EF; article 36-A of the Regulation of the Public Registry of the Securities Market; as well as the provisions of article 46, numeral 10, of the Regulation of Organization and Functions of the Superintendency of the Securities Market, approved by Supreme Decree No. 216-2011-EF and amending norms, which empowers the General Intendancy of Conduct Supervision to register appraisal entities in the Public Registry of the Securities Market.

Resuelve:

Article 1.- Register Planifica Asesoría Financiera S.A.C. in the section «Of Appraisal Entities covered by Law No. 28739» of the Public Registry of the Securities Market, under the charge of the Superintendency of the Securities Market – SMV.

Article 2.- Persons who join Planifica Asesoría Financiera S.A.C. as directors, managers or technical personnel in charge of carrying out company appraisal work within the framework of Law No. 28739, must comply with presenting the information referred to in the curriculum vitae and sworn statement required by article 36-A of the Regulation of the Public Registry of the Securities Market and, if applicable, accredit professional experience in appraisal work as provided in the same article.

Article 3.- Planifica Asesoría Financiera S.A.C. must observe the provisions contained in Law No. 28739, Law that Promotes the Exchange or Redemption of Investment Shares, and its respective Regulation; likewise, it is obliged to update the information contained in the corresponding file of the Public Registry of the Securities Market.

Article 4.- Disseminate this resolution on the SMV Institutional Page on the Single Digital Platform of the Peruvian State for Citizen Orientation (www.gob.pe/smv).

Electronically signed document within the framework of Law No. 27269, Law on Signatures and Digital 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

Article 5.- Transcribe this Resolution to Planifica Asesoría Financiera S.A.C.

Register, communicate and disseminate.

Alix Godos
General Intendant
General Intendancy of Conduct Supervision