Resolution SMV No. 001-2025-SMV/01

PERU Ministry of Economy and Finance

SMV
Securities Market
Superintendence
"Decade of Equality of Opportunities for Women and Men" "Year of recovery and consolidation of the Peruvian economy" 1 Electronically signed document in 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 Resolution SMV No. 001-2025-SMV/01 Lima, January 9, 2025 SEEN:
The File No. 2024026933 and the Joint Report No.
835-2024-SMV/06/10/12 of June 21, 2024, issued by the Legal Advisory Office, the Adjunct Superintendence of Prudential Supervision and the Adjunct Superintendence of Investigation, Development and Innovation; as well as the draft modification of the Rules for the Prevention of Money Laundering and Financing of Terrorism, approved by Resolution CONASEV No. 033-2011-EF-94.01.1 (hereinafter, the Project); CONSIDERING:
That, by Law No. 27693, the Financial Intelligence Unit of Peru (UIF-Peru) was created, an entity responsible for receiving, analyzing, processing, evaluating and transmitting information for the detection of money laundering and terrorist financing, as well as for cooperating in the implementation by the obligated subjects of the system to detect suspicious operations of money laundering and terrorist financing; That, article 3, numeral 9, of Law No. 27693, modified by Legislative Decree No. 1106, specifies that, for the case of obligated subjects under the supervision of the SBS and the SMV, the function of regulating the general and specific guidelines, requirements, and other aspects related to the prevention systems of the obligated subjects to report and of the reports of suspicious operations and the Register of Operations will correspond to these entities and will be exercised in coordination with UIF-Peru; That, by Resolution CONASEV No. 033-2011-EF/94.01.1 the Rules for the Prevention of Money Laundering and Financing of Terrorism (NPLAFT) were approved; and by Resolution SMV No. 007-2013-SMV/01, Superintendent Resolution No. 073-2018-SMV/02 and Superintendent Resolution No. 108-2020-SMV/02 modifications were made to various articles of the NPLAFT, with the purpose of incorporating the new recommendations of the FATF (Financial Action Task Force), under the risk-based approach associated with money laundering and terrorist financing; That, the Financial Action Task Force of Latin America (GAFILAT) carried out an evaluation on the implementation of the 40 Recommendations of the FATF and the level of effectiveness of the Peruvian system for the prevention of money laundering and terrorist financing; That, based on said evaluation, the Mutual Evaluation Report of Peru was published in February 2019, which contains the results on the compliance with the criteria that form part of the 40 Recommendations of the FATF and aspects of the regulation on the prevention of money laundering and

PERU Ministry of Economy and Finance

SMV
Securities Market
Superintendence
"Decade of Equality of Opportunities for Women and Men" "Year of recovery and consolidation of the Peruvian economy" 2 Electronically signed document in 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 terrorist financing that require adjustments to the regulation in various entities, such as the Superintendence of Banks, Insurance and Private Pension Fund Administrators and the Securities Market Superintendence, among others, to comply with the FATF criteria; That, among other modifications, the Project specifies the obligation of obligated subjects who manage and/or administer trusts or autonomous estates to retain information about service providers provided to the trust or estate, as part of the obligation of knowledge of suppliers applicable to all obligated subjects under the scope of the NPLAFT; That, on January 3, 2025, the Technical Secretariat of the Multisectoral Commission for Regulatory Quality communicated to this Superintendence, that the Multisectoral Commission for Regulatory Quality, under the provisions of numeral 18 of paragraph 28.1 of article 28 of the Regulation that develops the Institutional Framework governing the Process of Improvement of Regulatory Quality and establishes the General Guidelines for the application of Ex Ante Regulatory Impact Analysis, approved by Supreme Decree No. 063-2021-PCM, has declared that it does not correspond to perform the Ex Ante Regulatory Impact Analysis by the entity for the approval of the regulatory project; That, according to what is established in the "Policy on dissemination of regulatory projects, laws of general character, early agenda and other administrative acts of the SMV", approved by Resolution SMV No. 014-2014- SMV/01, it is necessary to disseminate the Project in public consultation, through the Institutional Page of the Securities Market Superintendence on the Single Digital Platform of the Peruvian State (www.gob.pe/smv), for a period of thirty (30) calendar days, counted from the day following the date of publication of this resolution, for the public to be able to send their suggestions or comments to the proposal; and, Being in accordance with what is provided in literal a) of article 1° and literal b) of article 5° of the Unified Concordant Text of the Organic Law of the SMV, approved by Legislative Decree No. 26126 and modified by Law No. 29782, article 7° of the Securities Market Law, Legislative Decree No. 861, numeral 9 of article 3 of Law No. 27693 and its modifying norms, as well as what was agreed by the Board of Directors of the SMV met in its session of June 25, 2024; IT IS RESOLVED:
Article 1°.- Authorize the dissemination of the draft project
of modification of the Rules for the Prevention of Money Laundering and Financing of Terrorism, approved by Resolution CONASEV No. 033-2011-EF-94.01.1.
Article 2°.- Order that the project indicated in the
preceding article be disseminated in public consultation on the Institutional Page of the Securities Market Superintendence on the Single Digital Platform of the Peruvian State (www.gob.pe/smv).
Article 3°.- The deadline for interested persons
to send to the Securities Market Superintendence their comments and observations on the project indicated in the previous articles is thirty (30) calendar days, counted from the day following the date of publication of the present resolution in the Official Journal El Peruano.

PERU Ministry of Economy and Finance

SMV
Securities Market
Superintendence
"Decade of Equality of Opportunities for Women and Men" "Year of recovery and consolidation of the Peruvian economy" 3 Electronically signed document in 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
Article 4°.- The comments and observations referred to in the
previous article, may be sent to the following email address: proymodplaft@smv.gob.pe.
Register, communicate and publish.
Zósimo Juan Pichihua Serna
Superintendent of the Securities Market