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General Superintendency Resolution SMV No. 024-2024-SMV/11.1

Lima, 01 April 2024

The General Superintendent of Conduct Supervision

Seen:

File No. 2024008829, as well as Internal Report No. 360-2024-SMV/11.1, from the General Superintendent of Conduct Supervision of the Deputy Superintendency of Market Conduct Supervision.

Considering:

That, by means of a document submitted on 29 February 2024, Banco GNB Perú S.A. requested from the Superintendency of the Securities Market – SMV, through the Single Window system, the exclusion of the securities designated «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A. – Primera Emisión», «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A. – Segunda Emisión» and «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A. – Tercera Emisión», which were registered and placed within the framework of the «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A.», in the Public Registry of the Securities Market and the Securities Registry of the Lima Stock Exchange, due to the total cancellation of the obligations arising therefrom;

That, it has been verified that on 23 July 2014, within the framework of an expedited procedure and under an automatic approval procedure, the issuance program designated «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A.» was registered, for up to a maximum amount in circulation of US$ 100’000,000.00 (One Hundred Million and 00/100 United States of America Dollars) or its equivalent in Soles, and the corresponding Master Prospectus was registered in the Public Registry of the Securities Market;

That, within the framework of the «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A.», on 23 July 2014, under an automatic approval procedure, the securities designated «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A. – Primera Emisión» were registered, for up to a maximum amount in circulation of S/60’000,000.00 (Sixty Million and 00/100 Soles), and the respective Master Prospectus Supplement was registered in the Public Registry of the Securities Market and, subsequently, in the Securities Registry of the Lima Stock Exchange;

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That, on 18 November 2014, within the framework of the aforementioned issuance program, the securities designated «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A. – Segunda Emisión» were registered, for up to a maximum amount in circulation of S/ 60’000,000.00 (Sixty Million and 00/100 Soles), and the respective Master Prospectus Supplement was registered in the Public Registry of the Securities Market and, subsequently, in the Securities Registry of the Lima Stock Exchange;

That, subsequently, on 06 April 2016, within the framework of the «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A.» and under an automatic approval procedure, the securities designated «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A. – Tercera Emisión» were registered, for up to a maximum amount in circulation of S/ 180’000,000.00 (One Hundred Eighty Million and 00/100 Soles), and the respective Master Prospectus Supplement was registered in the Public Registry of the Securities Market and, subsequently, in the Securities Registry of the Lima Stock Exchange;

That, in accordance with the provisions of article 20, numeral 20.1, of the Regulation on Registration and Exclusion of Securities in the Public Registry of the Securities Market and on the Trading Floor, approved by SMV Resolution No. 031-2012-SMV/01 and its amending rules, the SMV forwarded the exclusion request to the Lima Stock Exchange S.A., without said entity having raised any objections to the documentation submitted;

That, from the evaluation of the documentation submitted by Banco GNB Perú S.A., the submission of the documents referring to the total cancellation of the obligations arising from the securities «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A. – Primera Emisión», «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A. – Segunda Emisión» and «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A. – Tercera Emisión» has been verified;

That, Banco GNB Perú S.A. has complied with submitting the information and documentation required by the Single Ordered Text of the Securities Market Law, Legislative Decree No. 861, approved by Supreme Decree No. 020-2023-EF, as well as by the Regulation on Registration and Exclusion of Securities in the Public Registry of the Securities Market and on the Trading Floor, for the purpose of the exclusion of the securities designated «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A. – Primera Emisión», «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A. – Segunda Emisión» and «Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A. – Tercera Emisión»;

Whereas, from the information contained in the Public Registry of the Securities Market, it has been observed that, with the exclusion of the securities "Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A. – Primera Emisión", "Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A. – Segunda Emisión" and "Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A. – Tercera Emisión", all securities registered under the issuance program "Primer Programa de Certificados de Depósito Negociables de Banco GNB Perú S.A." will be excluded from the said registry; that the term of validity of the aforementioned issuance program has expired, making it impossible to carry out new placements and/or issuances of securities in the

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framework of the same; and that the cessation of public interest has occurred; thereby complying with the provisions of the last paragraph of Article 25 of the Regulations on Public Offering and Sale of Securities, approved by CONASEV Resolution No. 141-98-EF/94.10 and its amending rules, which states that with respect to programs, exclusion takes place when the registration term of validity has expired and no security has been placed under the program or when, having been placed, the security or securities are excluded from the Public Registry of the Securities Market;

Whereas, Article 39, letters b) and d), of the Single Ordered Text of the Securities Market Law; as well as Articles 20 and 23 of the Regulations on Registration and Exclusion of Securities in the Public Registry of the Securities Market and on the Trading Floor, establish that the exclusion of a security from the Public Registry of the Securities Market takes place by reasoned resolution of the SMV, when the rights over the security are extinguished, by amortization, total redemption or other cause, and when the cessation of public interest occurs;

Whereas, in this sense, taking into consideration that Article 15 of the Single Ordered Text of the Securities Market Law establishes that section a) of the Public Registry of the Securities Market registers securities and issuance programs, the statement in the preceding recital is also applicable to issuance programs, since these are subject to registration in the said Registry;

Whereas, with respect to the obligation to carry out a Public Exclusion Purchase Offer – OPC when a security is excluded from the Public Registry of the Securities Market, established in article 41 of the Single Ordered Text of the Securities Market Law and in article 32 of the Public Acquisition Offer and Exclusion Purchase of Securities Regulation, approved by CONASEV Resolution N° 009-2006-EF/94.10 and its amending rules, it must be noted that the exclusion of the securities designated "First Program of Negotiable Deposit Certificates of Banco GNB Perú S.A. – First Issue", "First Program of Negotiable Deposit Certificates of Banco GNB Perú S.A. – Second Issue" and "First Program of Negotiable Deposit Certificates of Banco GNB Perú S.A. – Third Issue" falls within the exception cause for not carrying out an OPC, contemplated both in article 23 of the Regulation on Registration and Exclusion of Securities in the Public Registry of the Securities Market and in the Stock Exchange Trading Floor, as well as in article 37, literal a), of the Public Acquisition Offer and Exclusion Purchase of Securities Regulation;

Whereas, article 7, numeral 6, 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 amending rules, establishes that decisions contained in administrative resolutions that resolve the exclusion of securities from the Public Registry of the Securities Market must be disseminated through the SMV Institutional Website on the Single Digital Platform of the Peruvian State for Citizen Guidance (www.gob.pe/smv); and,

In accordance with the provisions of article 39, literals b) and d), of the Single Ordered Text of the Securities Market Law; articles 19, 20, 21 and 23 of the Regulation on Registration and Exclusion of Securities in the Public Registry of the Securities Market and in the Stock Exchange Trading Floor; as well as by article 46,

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numeral 6, of the Regulation on Organization and Functions of the Superintendency of the Securities Market, approved by Supreme Decree N° 216-2011-EF and its amendments, which empowers the General Directorate of Conduct Supervision to order the exclusion of securities from the Public Registry of the Securities Market.

RESOLVES:

Article 1°.- Order the exclusion of the securities designated "First Program of Negotiable Deposit Certificates of Banco GNB Perú S.A. – First Issue", "First Program of Negotiable Deposit Certificates of Banco GNB Perú S.A. – Second Issue" and "First Program of Negotiable Deposit Certificates of Banco GNB Perú S.A. – Third Issue", corresponding to the "First Program of Negotiable Deposit Certificates of Banco GNB Perú S.A.", from the Public Registry of the Securities Market.

Article 2°.- Rule in favor of the exclusion of the securities indicated in the preceding article from the Securities Registry of the Lima Stock Exchange.

Article 3°.- Order the ex officio exclusion of the issuance program designated "First Program of Negotiable Deposit Certificates of Banco GNB Perú S.A." from the Public Registry of the Securities Market.

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

Article 5°.- Transcribe this resolution to Banco GNB Perú S.A., as issuer; to Scotiabank Perú S.A.A., as structuring entity; to the Lima Stock Exchange S.A.; and, to CAVALI S.A. I.C.L.V.

Register, communicate, and disseminate.

Alix Godos
General Director
General Directorate of Conduct Supervision