PERÚ Ministerio de Economía y Finanzas
SMV
Superintendency of the Market de Valores

“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. 132-2024-SMV/10.2

Lima, 30 September 2024

The General Intendant of Supervision of Entities

WHEREAS:

File No. 2024009521 initiated by PrudentialSAF Sociedad Administradora de Fondos S.A.C., as well as Report No. 1269-2024-SMV/10.2 dated 30 September 2024 from the General Intendancy of Supervision of Entities of the Superintendency of the Securities Market;

CONSIDERING:

That, by Superintendency Resolution No. 103-2016-SMV/02 of 16 August 2016, the operation of KOA Sociedad Administradora de Fondos de Inversión S.A.C., now named PrudentialSAF Sociedad Administradora de Fondos S.A.C., was authorized to act as administrator of mutual funds for investment in securities;

That, article 22 of the Rules for the Prevention of Money Laundering and/or Terrorist 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 for exclusion from the obligation to designate a full-time compliance officer;

That, through various writings submitted up to 26 September 2024, PrudentialSAF Sociedad Administradora de Fondos S.A.C. requested from the Superintendency of the Securities Market the exclusion from the obligation to designate a full-time compliance officer;

That, through Official Letter No. 58134-2024-SBS received on 20 September 2024, the Financial Intelligence Unit of Peru (UIF-Perú) granted its conformity to the request made by PrudentialSAF Sociedad Administradora de Fondos S.A.C.;

That, from the evaluation of the documentation submitted, it has been determined that PrudentialSAF Sociedad Administradora de Fondos S.A.C. has complied with the provisions of article 22 of the Rules for the Prevention of Money Laundering and Terrorist Financing, approved by Conasev Resolution No. 033-

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2011-EF/94.01.1 and its amendments, as well as with the provisions of the Single Text of Administrative Procedures of the Superintendency of the Securities Market, approved by Superintendency Resolution No. 023-2015-SMV/02, in order to obtain authorization for the exclusion from the obligation to designate a full-time compliance officer, as developed in Report No. 1269-2024-SMV/10.2; and,

In accordance with the provisions of article 38, numeral 13A, of the Regulation of Organization and Functions of the Superintendency of the Securities Market, approved by Supreme Decree No. 216-2011-EF and its amendments.

RESOLVES:

Article 1.- Authorize PrudentialSAF Sociedad Administradora de Fondos S.A.C. to have a non-full-time compliance officer.

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

Article 3.- Transcribe this resolution to PrudentialSAF Sociedad Administradora de Fondos S.A.C. and to the Financial Intelligence Unit of Peru (UIF-Perú).

Register, communicate and publish.

Armando Manco Manco
General Intendant
General Intendancy of Prudential Compliance

Electronically signed document digitally signed under Law No. 27269, Law of Di gital Signatures and Certificates, its Regulation and amendments.
The integrity of the document and the authorship of the( s) sig nature( s) can be verified at https://apps. fi rmaperu.gob.pe/web/validador.xhtml