PERU Ministry of Economy and Finance
SMV
Superintendency of the Market in Securities

"Decade of Equal Opportunities for Women and Men" "Year of the Bicentennial, of the consolidation of our Independence, and of the commemoration of the heroic battles of Junín and Ayacucho"

Resolution of the General Intendancy of Supervision of Entities

No. 078-2024-SMV/10.2

Lima, 03 June 2024

The General Intendant of Supervision of Entities

WHEREAS:

File No. 2024014936 submitted by Sociedad Agente de Bolsa Sura S.A. and Report No. 709-2024-SMV/10.2 of 31 May 2024;

CONSIDERING:

That, by Superintendency Resolution No. 121-2015-SMV/02 of 30 November 2015, the operation of Sociedad Agente de Bolsa Sura S.A. was authorized, to act as a stock brokerage firm;

That, article 38 of the Regulation of Intermediation Agents, approved by SMV Resolution No. 034-2015-SMV-01 and its amendments, sets forth the documents that intermediation agent companies must submit in order to obtain approval of agreements to reduce share capital and the consequent amendment of the Bylaws. It also provides that the effectiveness of such agreements is subject to the approval of the General Intendancy of Supervision of Entities;

That, with documents submitted up to 21 May 2024, Sociedad Agente de Bolsa Sura S.A. requested approval of the reduction of share capital and the consequent amendment of article five of its bylaws;

That, the General Shareholders' Meeting held on 25 January 2024 resolved, among others: (i) to reduce the company's share capital by the sum of S/ 8 000,000.00 (eight million and 00/100 soles), under the modality of mandatory capital reduction due to losses, in order to restore the balance between share capital and net equity, in accordance with the provisions of article 216, paragraph 4 and article 220 of the General Corporations Law; reducing it from 21 798 600.00 (twenty-one million seven hundred ninety-eight thousand six hundred and 00/100 Soles) to S/ 13 798 600.00 (thirteen million seven hundred ninety-eight thousand six hundred and 00/100 Soles) and, (ii) to amend article 5 of the bylaws;

That, after evaluating the information submitted, it has been determined that Sociedad Agente de Bolsa Sura S.A. has complied with the requirements of article 38 of the Regulation of Intermediation Agents; and,

In accordance with the provisions of article 38, numeral 5, subparagraph ii), of the Regulation of Organization and Functions of the Superintendency of the Securities Market, approved by Supreme Decree No. 216-2011-EF, which empowers the General Intendancy of Supervision of Entities to authorize the amendment of bylaws of the entities under its supervision;

RESOLVES:

Article 1.- To authorize the reduction of share capital of Sociedad Agente de Bolsa Sura S.A.; and, the consequent amendment of the bylaws in the terms agreed at the General Shareholders' Meeting held on 25 January 2024.

Article 2.- To order the dissemination of this resolution on the Securities Market Portal of the Superintendency of the Securities Market (www.gob.pe/smv).

Article 3.- To transcribe this resolution to Sociedad Agente de Bolsa Sura S.A.

Register, communicate and publish.

Armando Manco Manco
General Intendant
General Intendancy of Supervision of Entities