General Supervision of Entities Resolution No. 131-2025-SMV/10.2

PERU Ministry of Economy and Finance

SMV
Securities Market
Superintendency
"Decade of Equal Opportunities for Women and Men" "Year of recovery and consolidation of the Peruvian economy" Electronically signed document under 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 General Supervision of Entities Resolution No. 131-2025-SMV/10.2 Lima, July 21, 2025 Acting General Superintendent of Entity Supervision SEEN:
The File No. 2025008022 initiated by Sociedad Agente de Bolsa Sura S.A. and Fondos Sura SAF S.A.C., as well as Report No. 978- 2025-SMV/10.2 dated July 21, 2025 from the General Supervision of Entities Intendancy of the Securities Market Superintendency; CONSIDERING:
That Article 23, item 23.2, of the Norms for the Prevention of Money Laundering and/or Terrorism Financing, approved by CONASEV Resolution No. 033-2011-EF/94.01.1 and its amendments, established the procedure and requirements for the approval of the request to have a corporate compliance officer; That, through documents submitted until April 11, 2025, Sociedad Agente de Bolsa Sura S.A. and Fondos Sura SAF S.A.C. requested authorization from the Securities Market Superintendency to have a corporate compliance officer who would perform their functions in both entities, which are part of the same economic group, and who would dedicate themselves exclusively to these functions; That, through Letter No. 36160-2025-SBS received on July 9, 2025, the Financial Intelligence Unit of Peru (UIF-Peru) granted its agreement to the request made by Sociedad Agente de Bolsa Sura S.A. and Fondos Sura SAF S.A.C.; That, based on the evaluation of the documentation presented, it has been determined that Sociedad Agente de Bolsa Sura S.A. and Fondos Sura SAF S.A.C. have complied with: (i) Article 23 of the Norms for the Prevention of Money Laundering and Terrorism Financing; and (ii) the Single Text of Administrative Procedures of the Securities Market Superintendency, approved by Superintendent Resolution No. 023-2015-SMV/02, as developed in Report No. 978-2025-SMV/10.2; and,

PERU Ministry of Economy and Finance

SMV
Securities Market
Superintendency
"Decade of Equal Opportunities for Women and Men" "Year of recovery and consolidation of the Peruvian economy" Electronically signed document under 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 Given the provisions of Article 38, item 13A of the Regulation on Organization and Functions of the Securities Market Superintendency, approved by Supreme Decree No. 216-2011-EF and its amendment. RESOLVES:
Article 1.- Authorize Sociedad Agente de Bolsa Sura
S.A. so that together with Fondos Sura SAF S.A.C. they may have a corporate compliance officer, dedicated exclusively, who will perform their functions in the aforementioned obligated subjects belonging to the economic group known as Sura Business Group.
Article 2.- Order the dissemination of this resolution
on the SMV Securities Market Portal (www.gob.pe/smv).
Article 3.- Transcribe this resolution to Sociedad Agente de Bolsa Sura S.A., Fondos Sura SAF S.A.C. and to the Financial Intelligence Unit of Peru (UIF-Peru).
Register, communicate and publish.
Luis Enrique Achata Romero
Acting General Superintendent
General Supervision of Entities Intendancy