Resolution of the Human Resources Unit No. 014-2026-SMV/08.2

The Head of the Human Resources Unit

SEEN:

File No. 2026001105 containing Report No. 1307-2026-SMV/08.2, issued by the Human Resources Unit (hereinafter, HRU) endorsed by the Administration Office, through which the update of Tables No. 1, 2, and 4 of the Entity's Position Chart (hereinafter, CPE) is proposed;

CONSIDERING:

That, according to Article 1 of the Unified Text of the Organic Law of the National Supervisory Commission of Companies and Securities, approved by Legislative Decree 26126, modified by Law No. 29782, the Securities Market Superintendence (SMV) is a specialized technical body attached to the Ministry of Economy and Finance with legal personality of internal public law and enjoys functional, administrative, economic, technical, and budgetary autonomy;

That, by Supreme Decree No. 216-2011-EF, published on December 02, 2011, and its amendments, the Organization and Functions Regulation (ROF) of the SMV was approved;

That, by Executive Presidency Resolution No. 17-2024-SERVIR-GDSRH, dated January 22, 2024, Directive No. 002-2024-SERVIR-GDSRH "Design and structure of positions and roles for the elaboration, approval, administration and modification of the entity's position chart" was approved;

That, by Executive Presidency Resolution No. 133-2024-SERVIR-PE which approves - Formalizes the agreement of the Board of Directors of the National Authority of Civil Service – SERVIR, adopted in Session No. 14-2024-CD, through which the Position Chart of the Securities Market Superintendence – SMV dated October 18, 2024 is approved; and the updates to Table No. 1 of the CPE approved by Human Resources Unit Resolution No. 004-2025-SMV/08.2; Human Resources Unit Resolution No. 006-2025-SMV/08.2; Superintendent Resolution No. 158-2025-SMV/02; Human Resources Unit Resolution No. 002-2026-SMV/08.2; and, Human Resources Unit Resolution No. 009-2026-SMV/08.2;

PERÚ Ministry of Economy and Finance

SMV
Securities Market Superintendence

"Decade of Equal Opportunities for Women and Men" "Year of Hope and Strengthening of Democracy"

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That, by Superintendent Resolution No. 088-2026-SMV/02, the modification of the Position Profile Manual (MPP) of the Securities Market Superintendence was approved;

That, in letters b) and c) of Article 26 of Directive No. 002-2024-SERVIR-GDSRH, the HRU or its equivalent is authorized to update Table No. 1 of the CPE, due to: b) Variation in the codes and denominations of the positions recorded in Table No. 1 of the CPE, without implying a variation in the number of positions or the valuation of the position; and c) Variation in the number of occupied positions and vacancies, including budgeted and non-budgeted, as a result of the entry, exit, or displacement of personnel, without altering the total allocation of positions for the position;

That, furthermore, in letters a), c) and d) of paragraph 27.1 of Article 27 of Directive No. 002-2024-SERVIR-GDSRH, the HRU or its equivalent is authorized to update Table No. 2 of the CPE, due to: a) Variation in the total number of occupied positions that have become vacant during the current year or previous fiscal years, as well as the elimination of positions without occupied positions; c) Need to adjust information of positions that have technical and/or legal support, without generating an increase in the number of positions; and, d) Need to perform relocation of positions, as provided in the Fifth Complementary Transitory Provision of Law No. 30057, Civil Service Law.

That, additionally, in letters a) and d) of paragraph 29.1 of Article 29 of the aforementioned Directive, the HRU or its equivalent is authorized to update Table No. 4 of the CPE, due to the following scenarios: a) Variation in the total number of positions in positions that have become vacant during the current year or previous fiscal years; and d) Incorporation and/or update of income concepts approved in accordance with the current legal framework, collective bargaining, or judicial mandate;

That, according to what is stated in Report No. 1307-2026-SMV/08.2, the aforementioned actions do not have an impact on an increase in the total number of positions included in the current CPE nor on the SMV's budget, likewise according to paragraph 30.1 of Article 30 of Directive No. 002-2024-SERVIR-GDSRH, the updates made within the framework of CPE administration are approved by resolution of the HRU, with SERVIR and the Ministry of Economy and Finance (MEF) able to perform subsequent controls to verify that in no case have the criteria and/or amounts established by their favorable reports been disregarded or modified. Likewise, paragraph 30.2 of the cited article states that updates made to the CPE during the fiscal year must be formalized annually, at the latest, on December 31, by resolution of the head of the public entity, under responsibility. Such formalization refers to all updates that the HRU has made within the framework of CPE administration and approves the current version;

That, by virtue of the indicated regulations, in Report No. 1307-2026-SMV/08.2 of the HRU, the feasibility of updating Tables No. 1, 2, and 4 of the CPE of the SMV is supported, contemplating in the update proposal, the detailed scenarios of Articles 26, 27, and 29 of Directive No. 002-2024-SERVIR-GDSRH, which are detailed in the Annex that forms part of this resolution;

PERÚ Ministry of Economy and Finance

SMV
Securities Market Superintendence

"Decade of Equal Opportunities for Women and Men" "Year of Hope and Strengthening of Democracy"

That, within the framework of the regulatory provisions governing the administration of the CPE, it is convenient to approve the update proposal for Tables No. 1, 2, and 4 of the CPE formulated by the HRU;

Being aware of the foregoing and in accordance with the Organization and Functions Regulation of the Securities Market Superintendence, approved by Supreme Decree No. 216-2011-EF and its amendments, and Executive Presidency Resolution No. 17-2024-SERVIR-GDSRH which approves Directive No. 002-2024-SERVIR-GDSRH "Design and structure of positions and roles for the elaboration, approval, administration and modification of the entity's position chart";

RESOLVES:

Article 1. - Approve the update of Tables No. 1, 2, and 4 of the Entity's Position Chart - CPE of the Securities Market Superintendence, whose tables form an integral part of this resolution.

Article 2. - Order the publication of this Resolution on the Transparency Portal of the Securities Market Superintendence (www.smv.gob.pe) and on the Peruvian State Portal (https://www.gob.pe/smv) with its respective Annex.

Article 3. - Order the publication of Report No. 1307-2026-SMV/08.2 of the Human Resources Unit and this resolution with its respective annex, on the Institutional Intranet of the Securities Market Superintendence.

Joanna Elizabeth Centeno Blanco de Coia Executive of the Human Resources Unit

PERÚ Ministry of Economy and Finance

SMV
Securities Market Superintendence

"Decade of Equal Opportunities for Women and Men" "Year of Hope and Strengthening of Democracy"

ANNEX OF THE RESOLUTION OF THE HUMAN RESOURCES UNIT OF THE
SMV No. 014-2026-SMV/08.2

I. In application of scenario "b", Article 26, one (1) position was renamed, without implying a variation in the number of positions or the valuation of the position, as follows:

TABLE No. 1
PROPOSED CPE
ITEM

IDENTIFICATION OF THE
ORGANIZATION STRUCTURE 2. IDENTIFICATION OF POSITIONS Number of order 1.1 NATURE OF THE ORGAN 1.2 ORGAN 1.3 ORGANIC UNIT
2.1 CODE
OF
THE
POSITION
2.2 DESIGNATION OF THE
POSITION
2.3
TOTAL
ALLOCATION
2.4 TOTAL
OF
OCCUPIED
POSITIONS
2.5 TOTAL
OF
VACANT
POSITIONS
2.6
VACANT
POSITIONS
2.6.1
Bud.
2.6.2
Non bud.
1 103 Support
Information Technologies Office Not applicable CA30103 Specialist in Security, Continuity and Risks 1 0 1 0 1 Source: Report No. 1307-2026-SMV/08.2 Prepared by: HRU of the SMV

II. In application of scenario "c", Article 26, and scenario "a" of paragraphs 27.1 and 29.1 of Articles 27 and 29 of Directive No. 002-2024-SERVIR-GDSRH, respectively, the proposed update of the CPE also includes, for Tables No. 1, 2, and 4, variations in the status of positions due to entries and terminations that have modified the status of positions in occupied and planned situations, which has produced in some cases the elimination of positions without occupied positions in Table No. 2, with the number of positions/roles in Tables No. 1, 2, and 4 of the proposed CPE as follows:

TABLE No. 1 – PERSONNEL ENTRY
Source: Report No. 1307-2026-SMV/08.2 Prepared by: HRU of the SMV

Consequently, the number of positions/roles in Table No. 1 of the proposed CPE is as follows:

SUMMARY OF TABLE No. 1 OF THE PROPOSED CPE Number of order 1.2 ORGAN 1.3 ORGANIC UNIT 2.1 CODE OF THE POSITION
2.2 DESIGNATION OF THE
POSITION WORKER DATE OF ENTRY 077 Administration Office Finance Unit CA40077 Executive of the Finance Unit QUIROZ GOMERO JORGE LUIS 25/08/2026

PERÚ Ministry of Economy and Finance

SMV
Securities Market Superintendence

"Decade of Equal Opportunities for Women and Men" "Year of Hope and Strengthening of Democracy"

Source: Report No. 1307-2026-SMV/08.2 Prepared by: HRU of the SMV

TABLE No. 2 – PERSONNEL TERMINATION D.LEG. No. 728
(INDETERMINATE)
Source: Report No. 1307-2026-SMV/08.2 Prepared by: HRU of the SMV

TABLE No. 4 – PERSONNEL TERMINATION CAS (INDETERMINATE)
Source: Report No. 1307-2026-SMV/08.2 Prepared by: HRU of the SMV

III. In application of scenario "d" of paragraph 27.1 of Article 27 of Directive No. 002-2024-SERVIR-GDSRH, one (1) position of "Head of the Finance Unit" with origin number 048, in Table No. 2 of the current CPE was relocated to
Number of order 1.2 ORGAN 1.3 ORGANIC UNIT
2.2 DESIGNATION OF THE
POSITION WORKER DATE OF TERMINATION 107 Superintendence of Prudential Supervision General Intendancy of Entity Supervision Analyst CASTRO PACORICONA HENRY 24/07/2026 128 Superintendence of Market Conduct Supervision General Intendancy of Conduct Supervision Principal Analyst MORA LORENZI INES ROXANA 09/06/1977 Number of order 1.2 ORGAN 1.3 ORGANIC UNIT
2.2 DESIGNATION OF THE
POSITION WORKER DATE OF TERMINATION 00098 Superintendence of Risks --- PROFESSIONAL II CHIMOY ASTO GUILLERMO ENRIQUE 30//06/2026 00102 Superintendence of Prudential Supervision General Intendancy of Entity Supervision PROFESSIONAL I VIDAL ALVAREZ NATALY EMMY 13/07/2026

PERÚ Ministry of Economy and Finance

SMV
Securities Market Superintendence

"Decade of Equal Opportunities for Women and Men" "Year of Hope and Strengthening of Democracy"

"Management Specialist" in the Administration Office with origin number 048 in Table No. 2 of the proposed CPE, as follows:

TABLE No. 2
PROPOSED CPE
ORIGIN
NUMBER

IDENTIFICATION OF THE
ORGANIZATION STRUCTURE
IDENTIFICATION OF POSITIONS 3. ECONOMIC INFORMATION OF POSITIONS
1.1.
NATURE
OF
THE
ORGAN
1.2. ORGAN
1.3.
ORGANIC
UNIT
2.1.
DESIGNA-
TION OF
THE
POSITION
2.2.
CLASSIF-
ICATION OF
THE
POSI-
TION
2.3.
LABOR
REGIME
2.4.
TOTAL
OF
OCCUPIED
POSI-
TIONS
2.5.
VACANT
POSI-
TIONS
3.1.
REMUNE-
RATION
LEVEL
3.2. MONTHLY INCOME
3.3. ANNUAL AMOUNT
3.4. OCCASIONAL INCOME
3.5. TOTAL
ANNUAL
INCOME
3.2.1.
TAXABLE
INCOME
3.2.2.
SOCIAL
BURDEN
3.2.3.
NON-
TAX-
ABLE
INCOME
3.2.4.
UNIQUE
INCEN-
TIVE
3.2.5.
TOTAL
MONTHLY
3.4.1.
SCHOOL-
ALLOWANCE
3.4.2.
BONUS/GRAT-
IFICATION
3.4.3.
OTHER
OCCASI-
ONAL
3.4.4.
TOTAL
OCCASI-
ONAL
48 Support
Administration Office
Not applicable
Management
Specialist
SP-EJ D.Le g.728 1 P-5
S/
10,000.00
S/
927.01
S/
300.0
0
S/
0.00
S/
11,227.12
S/
134,725.44
S/
400.0
0
S/
22,454.2
4
S/
12,016.8
0
S/
34,871.0
4
S/
169,596.48
Source: Report No. 1307-2026-SMV/08.2 Prepared by: HRU of the SMV

IV. In application of scenario "c" of paragraph 27.1, the data contained in field 3.1. REMUNERATION LEVEL of the Management Specialist positions with origin numbers 30 and 79 was corrected, noting that said correction does not generate variations in other information recorded for the positions, as follows:

It says in field 3.1. REMUNERATION LEVEL the level "D-2" in Table No. 2 of the current CPE:
ORIGIN
NUMBER

IDENTIFICATION OF THE
ORGANIZATION STRUCTURE
IDENTIFICATION OF POSITIONS 3. ECONOMIC INFORMATION OF POSITIONS
1.1.
NATURE
OF
THE
ORGAN
1.2. ORGAN
1.3.
ORGANIC
UNIT
2.1.
DESIGNA-
TION OF
THE
POSITION
2.2.
CLASSIF-
ICATION OF
THE
POSI-
TION
2.3.
LABOR
REGIME
2.4.
TOTAL
OF
OCCUPIED
POSI-
TIONS
2.5.
VACANT
POSI-
TIONS
3.1.
REMUNE-
RATION
LEVEL
3.2. MONTHLY INCOME
3.3. ANNUAL AMOUNT
3.4. OCCASIONAL INCOME
3.5. TOTAL
ANNUAL
INCOME
3.2.1.
TAXABLE
INCOME
3.2.2.
SOCIAL
BURDEN
3.2.3.
NON-
TAX-
ABLE
INCOME
3.2.4.
UNIQUE
INCEN-
TIVE
3.2.5.
TOTAL
MONTHLY
3.4.1.
SCHOOL-
ALLOWANCE
3.4.2.
BONUS/GRAT-
IFICATION
3.4.3.
OTHER
OCCASI-
ONAL
3.4.4.
TOTAL
OCCASI-
ONAL
30 Advisory
Office of
Planning,
Management and
Integrity
Not applicable
Management
Specialist
SP-EJ D.Le g.728 1 D-2
S/
10,000.11
S/
927.01
S/
300.00 S/ 0.00 S/
11,227.12
S/
134,725.44
S/
400.00
S/
22,454.24
S/
12016.80
S/
34,871.04
S/
169,596.48
79 Support
Office of
Information
Technologies
Not applicable
Management
Specialist
SP-EJ D.Le g.728 1 D-2
S/
10,000.11
S/
927.01
S/
300.00 S/ 0.00 S/
11,227.12
S/
134,725.44
S/
400.00
S/
22454.24
S/
12,016.80
S/
34,871.04
S/
169,596.48
Source: Report No. 1307-2026-SMV/08.2 Prepared by: HRU of the SMV

It should say in field 3.1. REMUNERATION LEVEL the level "P-5" in Table No. 2 of the Proposed CPE:
ORIGIN
NUMBER

IDENTIFICATION OF THE
ORGANIZATION STRUCTURE
IDENTIFICATION OF POSITIONS 3. ECONOMIC INFORMATION OF POSITIONS
1.1.
NATURE
OF
THE
ORGAN
1.2. ORGAN
1.3.
ORGANIC
UNIT
2.1.
DESIGNA-
TION OF
THE
POSITION
2.2.
CLASSIF-
ICATION OF
THE
POSI-
TION
2.3.
LABOR
REGIME
2.4.
TOTAL
OF
OCCUPIED
POSI-
TIONS
2.5.
VACANT
POSI-
TIONS
3.1.
REMUNE-
RATION
LEVEL
3.2. MONTHLY INCOME
3.3. ANNUAL AMOUNT
3.4. OCCASIONAL INCOME
3.5. TOTAL
ANNUAL
INCOME
3.2.1.
TAXABLE
INCOME
3.2.2.
SOCIAL
BURDEN
3.2.3.
NON-
TAX-
ABLE
INCOME
3.2.4.
UNIQUE
INCEN-
TIVE
3.2.5.
TOTAL
MONTHLY
3.4.1.
SCHOOL-
ALLOWANCE
3.4.2.
BONUS/GRAT-
IFICATION
3.4.3.
OTHER
OCCASI-
ONAL
3.4.4.
TOTAL
OCCASI-
ONAL
30 Advisory
Office of
Planning,
Management and
Integrity
Not applicable
Management
Specialist
SP-EJ D.Le g.728 1 P-5
S/
10,000.11
S/
927.01
S/
300.00 S/ 0.00 S/
11,227.12
S/
134,725.44
S/
400.00
S/
22,454.24
S/
12016.80
S/
34,871.04
S/
169,596.48
79 Support
Office of
Information
Technologies
Not applicable
Management
Specialist
SP-EJ D.Le g.728 1 P-5
S/
10,000.11
S/
927.01
S/
300.00 S/ 0.00 S/
11,227.12
S/
134,725.44
S/
400.00
S/
22454.24
S/
12,016.80
S/
34,871.04
S/
169,596.48
Source: Report No. 1307-2026-SMV/08.2 Prepared by: HRU of the SMV

PERÚ Ministry of Economy and Finance

SMV
Securities Market Superintendence

"Decade of Equal Opportunities for Women and Men" "Year of Hope and Strengthening of Democracy"

V. In application of scenario "d" of paragraph 29.1 of Article 29 of Directive No. 002-2024-SERVIR-GDSRH, the update proposal includes the incorporation and/or update of income concepts approved in accordance with the current legal framework, collective bargaining, or judicial mandate in Table No. 4, as follows:

It was incorporated in Table No. 4:

Update due to the payment of the bonus concept, in accordance with Law 32563, applying gradualism in accordance with the First Complementary Transitory Provision of Supreme Decree No. 142-2026-EF.