Resolution R-NE-SIMV-2026-07-MV: Modifies the effective date of Resolution R-NE-SIMV-2025-07-MV on periodic information submission by Securities Market Participants, Autonomous Estates, and other specified persons, and sets transitional provisions for the MRI

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FIRST RESOLUTION OF THE SUPERINTENDENT OF THE SECURITIES MARKET DATED THIRTY (30) OF SEPTEMBER TWO THOUSAND TWENTY-SIX (2026) R-NE-SIMV-2026-07-MV Reference: Resolution modifying the effective date of Resolution R-NE-SIMV-2025-07-MV, which establishes general provisions on the information that Securities Market Participants, Autonomous Estates, and other persons determined by the Superintendency of the Securities Market must periodically submit, and establishes transitional provisions for the implementation of the Information Requirements Manual (MRI). Seen:
a. Constitution of the Dominican Republic, given and proclaimed by the National Assembly on October twenty-seventh (27), two thousand twenty-four (2024). b. Law no. 249-17, on the Securities Market of the Dominican Republic of December nineteenth (19), two thousand seventeen (2017), which repeals and replaces Law no. 19-00 of May eighth (8), two thousand (2000), (hereinafter “Law no. 249-17”).
c. Law no. 167-21, on Regulatory Improvement and Simplification of Procedures, dated August twelfth (12), two thousand twenty-one (2021), and its amendment.
d. Law no. 107-13, on the Rights of Persons in their Relations with the Administration and Administrative Procedure, dated August sixth (6), two thousand thirteen (2013). e. Law no. 189-11, for the Development of the Mortgage Market and Trust in the Dominican Republic, dated July sixteenth (16), two thousand eleven (2011). f. Law no. 479-08, General Law of Commercial Companies and Individual Limited Liability Companies, dated December eleventh (11), two thousand eight (2008) and its amendments. g. Law no. 200-04, General Law on Free Access to Public Information, dated July twenty-eighth (28), two thousand four (2004). h. Regulation for the Application of Law no. 189-11, for the Development of the Mortgage Market and Trust in the Dominican Republic, approved by Decree no. 95-12, dated March second (2), two thousand twelve (2012).
i. Regulation governing the Prevention of Money Laundering, Terrorism Financing, and the Proliferation of Weapons of Mass Destruction in the Dominican Securities Market, approved by the Third Resolution of the National Securities Market Council R-CNMV-2018-12-
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MV, on December eleventh (11), two thousand eighteen (2018), modified by the Fourth Resolution of the National Securities Market Council, R-CNMV-2025-04-MV, dated February twenty-fifth (25), two thousand twenty-five (2025), as well as its application instruction. j. Resolution establishing general provisions on the information that Securities Market Participants, Autonomous Estates, and other persons determined by the Superintendency of the Securities Market must periodically submit, approved by the Seventh Resolution of the Superintendent of the Securities Market, R-NE-SIMV-2025-07-MV, dated December twenty-third (23), two thousand twenty-five (2025). k. Rule establishing General Provisions on the information that Issuers and Securities Market Participants must periodically submit, approved by the Sixth Resolution of the National Securities Council, R-CNV-2016-15-MV, dated March third (03), two thousand sixteen (2016). Considering:

1. That the Superintendency of the Securities Market, in its capacity as the regulatory body of the Securities Market, in accordance with article 7 of Law no. 249-17, aims to promote an orderly, efficient, and transparent securities market, protect investors, ensure compliance with the law, and mitigate systemic risk, through the regulation and supervision of natural and legal persons operating in the securities market.
2. That article 17, numeral 14), of the aforementioned Law no. 249-17, empowers the Superintendent of the Securities Market to issue the resolutions, circulars, and instructions required for the development of this law and its regulations.
3. That article 25 of Law no. 249-17 establishes that the Superintendency is responsible for the development of the technical or operational standards derived from said law and its applicable regulations.
4. That the Superintendency of the Securities Market has the power to require all Securities Market Participants to provide periodic information that must be updated in the Securities Market Registry and that which is necessary for the supervision and oversight tasks of this regulatory body.
5. That on December twenty-third (23), two thousand twenty-five (2025), the Seventh Resolution of the Superintendent was approved, establishing the provisions related to the information that Securities Market Participants, Autonomous Estates, and other persons determined by the Superintendency of the Securities Market R-NE-SIMV-2025-07-MV must periodically submit, as well as the Information Requirements Manual (MRI), with the purpose of
   SC-07-03-01 Edition 5 Page 3 of 5 strengthening and standardizing the processes of submission, reception, and treatment of the information required for the exercise of supervisory functions.
6. That article 18 of the aforementioned Resolution established a period for its entry into force, prior to which the Superintendency, Securities Market Participants, and other persons subject to its provisions would carry out the necessary internal adjustments for its compliance.
7. That, within the framework of the implementation process of the Information Requirements Manual (MRI), securities market participants have raised concerns, observations, and proposals related to its entry into force and the necessary adjustments to ensure timely compliance with the provisions of said Manual.
8. That, as a result of the evaluation of the aforementioned proposals and the testing process developed for the implementation of the Information Requirements Manual, the need has been identified to grant an additional period to allow securities market participants to complete the operational, technological, and procedural adjustments necessary to ensure adequate implementation of the new information requirements.
9. That it is necessary to grant securities market participants an additional period to allow them to complete the operational, technological, and procedural adjustments required for the effective implementation of the Information Requirements Manual, without affecting the continuity of the periodic information currently received by the Superintendency for the exercise of its regulatory, supervisory, and oversight functions.
10. That, in view of the foregoing, it is necessary to modify the effective date of Resolution R-NE-SIMV-2025-07-MV and the Information Requirements Manual (MRI), establishing the necessary transitional provisions to guarantee the continuity of currently effective information requirements and the progressive and orderly implementation of the new scheme.
    Therefore:
    The Superintendent of the Securities Market, in the use of the powers conferred upon him by article 17, numeral 14, and article 25 of Law no. 249-17, resolves:
    I. To modify the effective date of the Resolution establishing general provisions on the information that Securities Market Participants, Autonomous Estates, and other persons determined by the Superintendency of the Securities Market must periodically submit, approved by the Seventh Resolution of the Superintendent of the Securities Market, R-NE-SIMV-2025-07-MV, dated December twenty-third (23), two thousand twenty-five (2025), so that it shall henceforth read:
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    Article 18.- Entry into force. The provisions of this Resolution shall enter into force on December thirty-first (31), two thousand twenty-six (2026), which shall be enforceable from the business day following the indicated date, without prejudice to the specific transitional treatments established in this Resolution.
    Paragraph I. The Quarterly Report on Anti-Money Laundering, Terrorism Financing, and Proliferation of Weapons of Mass Destruction (PLAFT) Risks, established in article 45 of the Regulation governing said matter in the Dominican Securities Market, corresponding to the October-December two thousand twenty-six (2026) quarter, must be submitted in January two thousand twenty-seven (2027), in accordance with the format and conditions established in the Information Requirements Manual. Paragraph II. The Related Parties Map Report shall enter into force on June thirty (30), two thousand twenty-seven (2027). In this regard, Securities Market Participants must submit the first report corresponding to the period ending on the indicated date and it must be presented within the submission period established in the Information Requirements Manual. Paragraph III. Notwithstanding the provisions in the main part of this article, the new submission deadlines for financial information from securities intermediaries shall be enforceable from April first (1st), two thousand twenty-seven (2027). Until March thirty-first (31st), two thousand twenty-seven (2027), the submission deadlines in force prior to the implementation of the Information Requirements Manual shall continue to apply, exclusively with respect to said requirements.
    II. To inform Securities Market Participants that the Superintendency of the Securities Market is making adjustments to the Related Parties Map report. Once these adjustments are concluded, the Superintendency will send the definitive version of the Related Parties Map, so that Participants can carry out the corresponding tests.
    III. To inform Securities Market Participants that the definitive templates and formats for the submission of the information provided in the Information Requirements Manual (MRI) will be available for download from September thirty (30), two thousand twenty-six (2026), through the following link: https://ofpiloto.simv.gob.do/.
    IV. To inform Securities Market Participants, Autonomous Estates, and other persons subject to Resolution R-NE-SIMV-2025-07-MV, that until December thirty-first (31), two thousand twenty-six (2026), they shall continue to submit the currently required periodic information, in accordance with the formats, periodicities, means, and deadlines that were applicable prior to the entry into force of the Information Requirements Manual.
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    V. To instruct the Directorate of Regulation and Innovation to publish this Resolution on the website of the Superintendency of the Securities Market.
    VI. To instruct the Directorate of Communications of the Superintendency of the Securities Market to publish this Resolution on the institution's social media networks.
    Digitally signed by:
    Ernesto Bournigal Read
    Superintendent
    EBR/AJSJ/mdt/mt/ru/kt