Regulatory Alerts2026-08-14
Added · Updated
Resolution SMV No. 011-2026-SMV/01
Resolution SMV No. 011-2026-SMV/01 amends the Regulations on Intermediation Agents, Mutual Investment Funds, and Investment Funds to standardize client risk profiling, investment advisory services, portfolio administration, and contract contents. The resolution mandates that intermediaries evaluate client financial situations, investment knowledge, and risk tolerance before providing advisory or portfolio management services, and requires specific disclosures and contractual clauses regarding risk, fees, and unregistered instruments. These changes apply to intermediation agents, mutual fund management companies, and investment fund management companies operating under the supervision of the Peruvian Securities Market Superintendency.
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