Resolution No. 2-2024-SMV/12.1 Authorizing Inversiones Neurona S.A.C. to Appoint a Part-Time Compliance Officer

PERÚ Ministry of Economy and Finance

SMV Superintendency of the Securities Market

"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" Electronically signed document within the framework of 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 Superintendent of Investigation and Innovation Resolution No. 2-2024-SMV/12.1 Lima, October 10, 2024

The General Superintendent of Investigation and Innovation

HAVING SEEN:

File No. 2024030197 initiated by Inversiones Neurona S.A.C. Financial Participatory Financing Platform Administrator Company, as well as Report No. 1292-2024-SMV/12.1 dated October 2, 2024;

CONSIDERING:

That, through Superintendent Resolution No. 075-2023-SMV/02, published on September 30, 2023, the operation of Inversiones Neurona S.A.C. Financial Participatory Financing Platform Administrator Company (formerly Bloom Crowdfunding S.A.C. Financial Participatory Financing Platform Administrator Company) was authorized to act as a financial participatory financing platform administrator company (hereinafter, Administrator Company);

That, Article 36 of the Regulations on the activity of financial participatory financing and its administrator companies, approved by Superintendent Resolution No. 045-2021-SMV/02, provides that Administrator Companies are obligated subjects to provide the information referred to in Article 3 of Law No. 27693, Law creating the Financial Intelligence Unit–Peru, in accordance with what is established in numeral 28 of paragraph 3.1 of Article 3 of Law No. 29038, and its regulatory norms, and to implement an AML/CFT prevention system, in accordance with what is established in the Norms for the prevention of Money Laundering and Terrorist Financing, approved by CONASEV Resolution No. 033-2011-EF/94.01.1 and/or the norm that modifies or replaces it (hereinafter, AML/CFT Norms);

That, Article 22 of the AML/CFT Norms established the procedure and requirements for the approval of the request for exclusion from the obligation to designate an exclusive full-time compliance officer;

That, through writings presented until August 1, 2024, Inversiones Neurona S.A.C. Financial Participatory Financing Platform Administrator Company requested the Superintendency of the Securities Market for the exclusion from the obligation to designate an exclusive full-time compliance officer;

That, through Office No. 59619-2024-SBS, received on September 30, 2024, the Financial Intelligence Unit of Peru (UIF-Peru), granted

PERÚ Ministry of Economy and Finance

SMV Superintendency of the Securities Market

"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" Electronically signed document within the framework of 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

its conformity to the request made by Inversiones Neurona S.A.C. Financial Participatory Financing Platform Administrator Company;

That, from the evaluation of the documentation presented, it has been determined that Inversiones Neurona S.A.C. Financial Participatory Financing Platform Administrator Company complies with what is established in Article 22 of the AML/CFT Norms in order to obtain the authorization for exclusion from the designation of an exclusive full-time compliance officer; as developed in Report No. 1292-2024-SMV/12.1 dated October 2, 2024; and,

Being in accordance with what is established by Article 53, numeral 11, section XI of the Regulations on Organization and Functions of the Superintendency of the Securities Market, approved by Supreme Decree No. 216-2011-EF and modified by Superintendent Resolution No. 026-2022-SMV/02;

IT IS RESOLVED:

Article 1st.- Authorize Inversiones Neurona S.A.C. Financial Participatory Financing Platform Administrator Company to have a part-time compliance officer.

Article 2nd.- Inversiones Neurona S.A.C. Financial Participatory Financing Platform Administrator Company must present, within the thirty (30) business days prior to the completion of twelve (12) months from the date of notification of this resolution, a technical report containing the evaluation of the aspects indicated in Article 22, numeral 22.2, of the Norms for the Prevention of Money Laundering and/or Terrorist Financing, in order to evaluate whether the conditions that gave merit to the authorization are maintained.

Article 3rd.- Order the dissemination of this resolution on the Institutional Page of the Superintendency of the Securities Market on the Single Digital Platform of the Peruvian State (www.gob.pe/smv).

Article 4th.- Transcribe this resolution to Inversiones Neurona S.A.C. Financial Participatory Financing Platform Administrator Company and to the Financial Intelligence Unit of Peru (UIF-Peru).

Register, communicate and publish.

Martín Manuel Sotelo García General Superintendent of Investigation and Innovation (e) Adjunct Superintendent of Investigation, Development and Innovation

PERÚ Ministry of Economy and Finance

SMV Superintendency of the Securities Market

"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" Electronically signed document within the framework of 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