R-SIMV-2026-29-SIMV — Update of the Regulatory Framework for the Compliance and Anti-Bribery Management System of the Securities Market Superintendence, pursuant to the ISO 37001:2025 Standard

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FIRST RESOLUTION OF THE SECURITIES MARKET SUPERINTENDENCE DATED TWENTY-SECOND (22) OF JULY OF THE YEAR TWO THOUSAND TWENTY-SIX (2026) R-SIMV-2026-29-SIMV Reference: Update of the regulatory framework applicable to the Compliance and Anti-Bribery Management System of the Securities Market Superintendence, pursuant to the update of the ISO 37001:2025 Standard on Anti-Bribery Management Systems.

Viewed: The Constitution of the Dominican Republic, proclaimed on the twenty-seventh (27) of October of the year two thousand twenty-four (2024).
Viewed: Law No. 107-13, dated the eighth (8) of August of the year two thousand thirteen (2013), on the Rights of Persons in their Relations with the Administration and Administrative Procedure.
Viewed: Law No. 249-17, dated the nineteenth (19) of December of the year two thousand seventeen (2017), on the Securities Market of the Dominican Republic, which repeals and substitutes Law No. 19-00, dated the eighth (8) of May of the year two thousand (2000) (the “Law No. 249-17”).
Viewed: The ISO 37001: 2016 Standard, on Anti-Bribery Management Systems, created in the year 2016.
Viewed: The ISO 37001:2025 Standard, on Anti-Bribery Management Systems, updated in the year 2025.
The ISO 37301:2021 Standard, on Compliance Management Systems, created in the year 2021.
Viewed: The First Resolution of the National Securities Market Council dated the eleventh (11) of June of the year two thousand twenty-four (2024), R-CNMV-2024-04-SIMV, which approves the Compliance and Anti-Bribery Policy of the Securities Market Superintendence, which was updated through the Second Resolution of the National Securities Market Council dated the twenty-third (23) of June of the year two thousand twenty-six (2026), R-CNMV-2026-10-SIMV.

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Viewed: The First Resolution of the Securities Market Superintendence, dated the fourth (4) of September of the year two thousand twenty-four (2024), R-SIMV-2024-34-R, which creates the Integral Management Committee for Compliance and Anti-Bribery of the Securities Market Superintendence and the Internal Compliance and Anti-Bribery Network.

Considering: That the Securities Market Superintendence (the “Superintendence”) has as its objective to regulate, supervise, develop, and promote an orderly, efficient, and transparent securities market, with the aim of protecting the rights and interests of the investing public, minimizing systemic risk, fostering healthy competition, and preserving confidence in the securities market, by establishing conditions for information to be truthful, sufficient, and timely, with the aim of contributing to the economic and social development of the country. Considering: That Article 25 of Law No. 249-17 establishes that “it corresponds to the Superintendence the development of technical or operational norms derived from this law and applicable regulations and necessary norms, for the exercise of its power of internal self-organization.” Considering: That this Superintendence constantly seeks the incorporation of national and international best practices to promote integrity, legality, and prevent corruption in its interaction with its various stakeholder groups. Considering: That the ISO 37001:2025 Standard, on Anti-Bribery Management Systems, updates the framework established by the ISO 37001:2016 Standard, making it appropriate to incorporate it into the basis applicable to the Compliance and Anti-Bribery Management System of the Superintendence. Considering: That the Superintendence, in the exercise of its legal powers, deems it appropriate to declare the update applicable to the Compliance and Anti-Bribery Management System, in consonance with the Compliance and Anti-Bribery Policy approved by the National Securities Market Council through Resolution R-CNMV-2024-04-SIMV and updated through Resolution R-CNMV-2026-10-SIMV.

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Considering: That through the First Resolution of the Securities Market Superintendence, dated the fourth (04) of September of the year two thousand twenty-four (2024), R-SIMV-2024-34-R, the Integral Management Committee for Compliance and Anti-Bribery and the Internal Compliance and Anti-Bribery Network were created, pursuant to the previous ISO 37001:2016 Standard. Considering: That in accordance with the considerations set forth in this administrative act, it is necessary for the Superintendence to issue a Resolution for the purpose of declaring the update of the regulatory framework applicable to the Compliance and Anti-Bribery Management System of the Superintendence, in accordance with the ISO 37001:2025 Standard on Anti-Bribery Management Systems.

Therefore, the Superintendent of the Securities Market Superintendence, in the use of the powers granted by Law No. 249-17, resolves:

First: To declare the update of the regulatory framework applicable to the Anti-Bribery Management System of the Securities Market Superintendence in accordance with the ISO 37001:2025 Standard, approved in the year 2025.

Second: To establish that the Securities Market Superintendence proceeds with the update of the regulatory framework applicable to the Anti-Bribery Management System, pursuant to the ISO 37001:2025 Standard, on Anti-Bribery Management Systems, which is in consonance with the modification of the Compliance and Anti-Bribery Policy approved by the National Securities Market Council, through the Second Resolution R-CNMV-2026-10-SIMV.

Third: To reiterate that all other provisions contained in the First Resolution of the Securities Market Superintendence dated the fourth (04) of September of the year two thousand twenty-four (2024), R-SIMV-2024-34-R, which creates the Integral Management Committee for Compliance and Anti-Bribery of the Securities Market Superintendence and the Internal Compliance and Anti-Bribery Network, remain unchanged, including those relating to the creation, composition, attributes, functions, and operating regime of the Committee, as well as those relating to the creation and attributes of the Internal Compliance and Anti-Bribery Network.

Fourth: To send this resolution to all designated members, for their knowledge and appropriate purposes.

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Fifth: To instruct the Legal Department to publish this Resolution on the website of the Securities Market Superintendence, in the corresponding section.

In the city of Santo Domingo de Guzmán, National District, capital of the Dominican Republic, on the twenty-second (22) days of the month of July of the year two thousand twenty-six (2026).

Digitally signed by:

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Ernesto Bournigal Read
Superintendent