Lima, 12 November 2009

S.B.S. Resolution No. 14998-2009

The Superintendent of Banking, Insurance and Private Administrators of Pension Funds

WHEREAS:

That, by means of Law No. 27693 and its amending norms, the Financial Intelligence Unit of Peru (UIF-Peru) was created, responsible for receiving, analyzing, processing, evaluating and transmitting information for the detection of money laundering and terrorist financing, for which purpose the list of obligated subjects to inform it about suspicious operations was established;

That, by means of Law No. 29038, the incorporation of the UIF-Peru into the Superintendency of Banking, Insurance and Private Administrators of Pension Funds (Superintendency) was ordered, as a specialized unit, whereby the SBS, in addition to its own functions, has assumed the competencies, attributions and functions that corresponded to said institution;

That, in accordance with the provisions of literals c) and d) of article 10.2.3 of Law No. 27693 and its amending norms, the SBS, through the UIF-Peru, has the status of supervisory body in matters of prevention and detection of money laundering and terrorist financing with respect to those obligated subjects that do not have one, and it is incumbent upon it to sanction them for non-compliance with the obligations provided in said law and its regulation;

That, by means of SBS Resolution No. 486-2008, the Norm for the Prevention of Money Laundering and Terrorist Financing was approved, of general application to the obligated subjects to inform that lack supervisory bodies, in accordance with the provisions of literal c) of numeral 10.2.3 of article 10 of Law No. 27693; a norm that established requirements and procedures considering the particular characteristics of said obligated subjects under the supervision scope of the Superintendency, through the UIF-Peru;

That, in accordance with the provisions of article 1 of the aforementioned Resolution, this Superintendency is empowered to expand the list of obligated subjects to provide it information through the UIF-Peru;

That, Public Auctioneers lack a supervisory and control body for their own activities, whereby it corresponds to this Superintendency, through the UIF-Peru, to exercise supervision of Public Auctioneers in matters of prevention and detection of money laundering and terrorist financing, in accordance with the competencies granted in the current regulatory framework;

SUPERINTENDENCY OF BANKING, INSURANCE AND AFP Republic of Peru

In view of the opinion of the Deputy Superintendencies of the Financial Intelligence Unit of Peru and of Legal Advice; and having complied with the dissemination period of the draft legal norms of a general nature referred to in article 14 of the Regulation that establishes provisions relating to publicity, publication of normative drafts and dissemination of legal norms of a general nature, approved by Supreme Decree No. 001-2009-JUS; and,

In use of the attributions conferred by Law No. 29038 and Law No.
26702, in accordance with Law No. 27693 and its amending norms;

RESOLVES:

Article One.- To modify articles 1, 2, 5, 6, 7, 8, 9, 12, 13, 15, 16, 17 and 20 of the Norm for the Prevention of Money Laundering and Terrorist Financing, of general application to the obligated subjects to inform that lack supervisory bodies, approved by SBS Resolution No. 486-2008, with the following texts:

"Article 1.- Scope

This norm is applicable to persons considered as obligated subjects to inform the Financial Intelligence Unit of Peru (UIF-Peru), as provided in article 3 of Law No. 29038, that do not have supervisory bodies, as indicated below: Legal persons that:

Legal persons that:

1. Receive donations or contributions from third parties, provided they are not supervised by APCI or the Board of Supervisory of Foundations.

Natural and legal persons that engage in:

2. The buying and selling of vehicles.

3. The buying and selling of foreign currency.

4. The trade of antiques, coins, postage stamps.

5. The trade of jewels, metals and precious stones.

6. The trade of art objects.

7. Loans and pawnbroking.

8. The Management of Interests in public administration, according to Law No. 28024.

9. The construction activity, the real estate activity, or both.

10. Public Auctioneers.

The Superintendency may modify, reduce or expand the list of obligated subjects to provide information to the UIF-Peru."

"Article 2.- Definitions

For purposes of the application of this norm, the following shall be understood as:

a) FINAL BENEFICIARY: Is every natural person who, without necessarily having the status of client, is the owner or recipient of the good or service provided by the obligated subject, or is authorized or empowered to dispose of it.

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b) GOOD JUDGMENT.- The discernment or judgment that is formed, at least from the knowledge of the client and the market. It encompasses the experience, training and commitment of the obligated subject and its workers, in the prevention of money laundering and terrorist financing.

c) TERRORIST FINANCING.- Crime typified in literal f) of article 4 of Decree Law No. 25475 and its amending norms.

d) ECONOMIC GROUP: Is the set of two or more legal persons, national or foreign, in which one of them exercises control over the other(s), or when the control over the legal persons corresponds to one or several natural persons acting as a decision unit.

e) MONEY LAUNDERING.- Crime typified in Law No. 27765, Criminal Law against Money Laundering and its amending norms.

f) LAW.- Law No. 27693 - Law that creates the Financial Intelligence Unit of Peru and its amending norms.

g) OFAC List.- List issued by the Office of Foreign Assets Control of the United States Department of the Treasury (OFAC), which includes countries, persons and/or entities that, in the opinion of the USA, collaborate with terrorism and illicit drug trafficking.

h) MANUAL.- Manual for the Prevention of Money Laundering and Terrorist Financing.

i) UNUSUAL OPERATIONS.- Those whose amount, particular characteristics and frequency are not related to the client's economic activity, fall outside the normal parameters in force in the market or do not have an evident legal basis.

j) SUSPICIOUS OPERATIONS.- Those unusual operations carried out or intended to be carried out, of a civil, commercial or financial nature, that have an unusual magnitude or speed of rotation, or conditions of unusual or unjustified complexity, which, based on the information gathered, in accordance with the norms on "customer knowledge", are presumed to originate from some illicit activity, or that, for any reason, do not have an apparent economic or lawful basis; and that could be linked to money laundering or terrorist financing.

k) POLITICALLY EXPOSED PERSONS (PEP).- Those natural persons who perform or have performed prominent public functions in the last two (2) years, whether in the national territory or abroad, and whose financial circumstances may be of public interest. Includes their relatives up to the second degree of consanguinity, second of affinity, and the spouse or concubine.

l) REGULATION.- Regulation of the Law that creates the UIF-Peru, approved by Supreme Decree No. 018-2006-JUS.

m) OBLIGATED SUBJECTS.- All those natural and legal persons obligated to report to the Financial Intelligence Unit of Peru, who engage in any of the activities provided in numerals 3.1 and 3.2 of article 3 of Law No. 29038 and lack a supervisory body for the activities they carry out.

n) SUPERINTENDENCY.- Superintendency of Banking, Insurance and Private Pension Fund Administrators.

o) WORKER.- Anyone who, regardless of the labor regime in which they are found, carries out permanent activities, without prejudice to the labor or contractual relationship with the obligated subject.

p) UIF-Peru.- Financial Intelligence Unit of Peru, specialized unit of the Superintendency.”

“Article 5.- Annual Training

Obligated subjects constituted as legal persons must have an annual training program that allows their compliance officers, workers, as well as the General Manager, Managers,

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Administrator or the one acting in their stead, to be instructed in matters of prevention of money laundering and terrorist financing, receiving at least one (1) training per year.

Trainings may be given to the workers of the obligated entity and to those holding any of the positions referred to in the preceding paragraph by the Compliance Officer through any physical or IT means or modality deemed appropriate. In these cases, the Compliance Officer shall issue a Certificate with the status of a Sworn Declaration in which the date, day, place and duration of said activity, the names of the participants, the positions they hold and the syllabus are indicated. A copy of said certificate shall be incorporated into each of the personal files of those who have participated.

New workers, members of the Board of Directors or the Management Council, as applicable, as well as the General Manager, Managers, Administrator or whoever acts in their stead shall be informed by the Compliance Officer about the scope of the obligated entity's Money Laundering and Terrorist Financing Prevention System within the thirty (30) days following the date of entry.

When the obligated entities are natural persons, they shall receive at least (1) training per year, which may be given by the Compliance Officer, who in this case shall issue the Certificate referred to in the second paragraph of this article, being able to use for such purpose the training modules on this subject used by other entities.”

“Article 6.- Clients

All natural and legal persons to whom the obligated entity provides any service inherent to its line of business or commercial activity are clients. The Law, the Regulations and these rules are applicable to all clients of the obligated entity, whether they are habitual or occasional, national or foreign. For the purposes of information requests and registration, the client's representative or principal shall also be considered in addition to the client.

In the case of Public Auctioneers, the natural or legal person who acquires the property or properties subject to a public auction or bidding shall be considered a client, for which reason client knowledge policies shall apply to the knowledge of the awardee and/or beneficiary of the property or properties subject to a public auction or bidding.

It is the responsibility of the obligated entity to adopt reasonable measures to identify the ultimate beneficiaries of the property or service it provides, to the extent permitted by its due diligence.”

“Article 7.- Client knowledge

Client knowledge requires the obligated entities to carry out the reliable identification of the client, which shall be accredited:

1. When the client is a natural person:

a) In the case of nationals, with the presentation of the national identity document.

b) In the case of non-resident foreigners, with the presentation of the passport.

c) In the case of resident foreigners, with the presentation of the Foreigner's Identity Card.

2. When the client is a legal person:

a) The corporate name or trade name.

b) The number of the Single Taxpayer Registry - RUC.

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c) Legal address.

d) First and last names of the person acting in said transaction representing the legal person, in which case the corresponding identity document shall also be required, in accordance with item 1 above.

The obligated entities shall reinforce their client knowledge procedures when dealing with non-domiciled companies, politically exposed persons (PEPs), and others which, in their opinion, they consider necessary or which the Superintendency determines.”

“Article 8.- Employee knowledge

The obligated entities must ensure that their employees have a high level of integrity, gathering information on their personal, employment and asset backgrounds.”

The obligated entities shall keep a personal file for each employee, which shall be available to the UIF-Perú upon request, and shall contain the following minimum information:

1. Curriculum vitae with a recent photograph, which shall have the status of a sworn declaration.

2. Copy of the national identity document and, where applicable, of the documents legally established for the identification of foreigners.

3. Sworn Declaration of having no police or criminal record.

4. Sworn Declaration of having become aware of and complying with the Code of Conduct and the Manual for the Prevention of Money Laundering and Terrorist Financing.

5. Copies of the certificates evidencing the training referred to in article 5.

6. Sanctions for non-compliance with internal rules imposed by the obligated entity.

7. Others determined by the obligated entity or the Superintendency.”

“Article 9.- Of the Transaction Registry (ROP)

The obligated entities, for the purpose of keeping control of the transactions they carry out, shall maintain a registry of their clients who carry out transactions for amounts equal to or greater than ten thousand US dollars (US$ 10,000.00), its equivalent in national currency or other currencies, as the case may be.

Likewise, they shall register multiple transactions which in total equal or exceed fifty thousand US dollars (US$ 50,000.00), its equivalent in national currency or other currencies, as the case may be, when they are carried out by or for the benefit of the same person during a calendar month, in which case they shall be considered as a single transaction. The applicable exchange rate to set the equivalent in national currency or other currencies shall be the one obtained by averaging the daily selling exchange rates corresponding to the month prior to the transaction, published by the Superintendency.

The registration of the transaction does not imply that the client has carried out an unusual or suspicious transaction, nor that it must be reported to the UIF-Perú.

For the following obligated entities, the thresholds for the registration of transactions indicated below shall be established:

The register may be kept by manual or computerized systems and shall contain the minimum information referred to in Annex No. 2 - Form for the Registration of Operations (ROP), which may be used for such purpose by the obligated parties. Notwithstanding the foregoing, by way of exception, the UIF-Peru may determine the cases in which the obligated parties may replace all or part of said register with another official administrative register that they are required to keep.

The amounts established in the first paragraph of this article may vary depending on the particular characteristics of the obligated party, as expressly determined by the Superintendency. The Superintendency may request the obligated party to submit the ROP in part or in full, when it deems it necessary, by the means it determines.

For the purposes of the registration of operations, the obligated party, in accordance with its good judgment, may set thresholds lower than those applicable to it pursuant to the provisions of this article.”

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“Article 12.- Report of Suspicious Operations (ROS)

Without prejudice to the amounts involved, the obligated parties must report to the UIF-Peru the operations detected in the course of their activities, whether carried out or attempted, which according to their good judgment are considered suspicious, within a period of no more than thirty (30) calendar days from their detection.

An operation is considered to be detected as suspicious when, having previously identified an operation as unusual (outside the client's usual pattern), following the analysis and evaluation carried out by the Compliance Officer, this officer may presume that the funds or assets used derive from any illicit activity, or that, for any reason, they do not have an apparent economic or lawful basis. The Compliance Officer shall keep a written record of the analysis and evaluations carried out to classify an operation as suspicious or not.

Annex No. 1 entitled “Alert Signals” contains a list of this type of signals that the obligated parties must take into account for the purpose of detecting suspicious operations, considering the unusual operations or conduct of the clients and the employees of the obligated party; this does not exempt them from reporting other operations that they consider suspicious in accordance with their money laundering and terrorism financing prevention system and, in particular, taking into account the operations or situations related to the line of business or activity of the obligated party. Without prejudice to the foregoing, the UIF-Peru may provide the obligated parties with additional information or criteria that contribute to the detection of unusual or suspicious operations

The Suspicious Transaction Report (STR) must contain the minimum information referred to in Annex No. 3 of this regulation, which the obligated subjects may use for the respective communication to the UIF-Peru.”

“Article 13.- Manual for the Prevention of Money Laundering and the Financing of Terrorism

The Manual shall contain the policies, mechanisms and procedures established for the prevention of money laundering and the financing of terrorism, in compliance with the Law, its Regulation and other provisions issued on the matter, and shall contain at least the information indicated in Annex No. 4 - “Basic Content of the Manual for the Prevention of Money Laundering and the Financing of Terrorism”. The “Warning Signs” prepared by the obligated subject on the basis of the provisions of Annex No. 1 of this regulation must be incorporated into the Manual.

The Manual must be disseminated among the personnel of the obligated subject, including the obligated subject itself when it is a natural person, and among its shareholders, partners, associates, directors, managers, administrators, attorneys-in-fact or legal representatives, in the event the obligated subject is a legal person; its updating is permanent and it shall be available to the UIF-Peru whenever required.

In the case of a legal person, the Manual must be approved by the Board of Directors or the Board of Directors, as applicable; by the General Manager, Manager, Owner-Manager or Administrator as applicable, provided that the legal person is not required to have a Board of Directors. In the case of a natural person, approval of the Manual is the responsibility of the holder of the activity.”

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“Article 15.- Compliance Officer

In the exercise of the control and supervision of the money laundering and terrorist financing prevention system, the Superintendency, through the UIF-Peru, shall use not only its own supervision mechanisms but shall also rely on the Compliance Officer and, where applicable, on the internal auditors and external audit firms, provided that the obligated subjects have them.

The Compliance Officer is the natural person responsible for overseeing the proper implementation and operation of the money laundering and terrorist financing prevention system of the obligated subject. The Compliance Officer may be the obligated subject itself when it is a natural person.

When the Compliance Officer is a person other than the obligated subject, that person is required to be of absolute trust, to be employed by the obligated subject and to enjoy autonomy and independence in the exercise of the responsibilities and functions assigned for that purpose by the Law, the Regulation and this regulation, without prejudice to complying with the requirements referred to in Article 16, which must be accredited before the obligated subject. When the obligated subject is a legal person, the appointment of the compliance officer must be made by the Board of Directors or the Board of Directors, as applicable; if the legal person is not required to have a Board of Directors, the Compliance Officer shall be appointed by the General Manager, Manager, Owner-Manager, Administrator or equivalent bodies, as applicable.

The Compliance Officers of the obligated subjects referred to in this regulation may serve on a non-exclusive basis, with express communication to the Superintendency, through the UIF-Peru, being sufficient, stating the appointment of the person who will act as such; however, given the characteristics of their operations, the Superintendency, through the UIF-Peru, may determine the particular cases in which the Compliance Officer must serve on an exclusive basis, taking into consideration, among other aspects, the size of the organization, its complexity, level of operational, administrative and legal risks as well as the average volume of transactions or operations, number of personnel, patrimonial movement, in addition to the particular characteristics of the obligated subject. In these cases, the Superintendency, through the UIF-Peru, shall require the necessary complementary information and shall communicate such decision by resolution. The appointment of the Compliance Officer does not exempt the obligated subject, nor its workers, directors, shareholders, partners, associates, managers or legal representatives or attorneys-in-fact, from the obligation to apply the policies and procedures of the money laundering and terrorist financing prevention system, respectively.

The General Manager, Owner-Manager, Administrator or the person acting in their stead as provided in the bylaws of the obligated subject, or the obligated subject itself in the case of a natural person, by letter addressed to the Deputy Superintendent of the UIF-Peru, within a period no greater than five (5) business days from the appointment of the Compliance Officer, shall communicate it attaching the supporting documentation referred to in Article 16 of this regulation, as well as a copy of the minutes of the meeting of the Board of Directors or Board of Directors, if applicable. In the case of removal, the communication shall indicate the reasons justifying the measure. The vacancy situation may not last more than ten (10) calendar days.

For the proper reservation of their identity, the appointment of the Compliance Officer must not be registered in the registries that make up the National System of Public Registries. When the Compliance Officer is appointed to a managerial, administrative or directorial position, only the part pertaining to the appointment to the respective position shall be registered in the Registry Entry of the legal person.”

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“Article 16.- Requirements of the Compliance Officer

The Compliance Officer must meet at least the following requirements:

a) Have a minimum of one (1) year of experience in the activities of the subject, evidenced in their Curriculum Vitae, duly documented. This restriction shall not apply to Public Auctioneers with less than one (1) year since assuming the position.

b) Not have been convicted of the commission of intentional crime(s).

c) Not have been dismissed from public office or removed from it for serious misconduct.

d) Not be or have been an internal auditor of the obligated subject during the six (6) months prior to their designation.

e) Not have overdue debts for more than one hundred twenty (120) days in the financial system or in judicial collection.

f) Not have been declared bankrupt.

g) Others established by the Superintendency.

The minimum requirements referred to in this article may be evidenced by sworn statements, with the exception of the requirement established in item a), and must have the due support.”

“Article 17.- Responsibilities of the Compliance Officer

The responsibilities of the Compliance Officer are as follows:

a. Monitor compliance with the system to detect suspicious transactions related to money laundering and terrorist financing.

b. Verify the application of the policies and procedures implemented for customer and employee knowledge.

c. Define strategies to prevent money laundering and terrorist financing in its sector.

d. Propose warning signs to be incorporated into the Prevention Manual in said matter.

e. Analyze the unusual transactions detected, in order to determine the transactions that could be classified as suspicious and, where appropriate, report them to the UIF-Perú through the ROS, keeping a record of them.

f. Adopt the necessary actions to ensure its training, that of the personnel and of the obligated party, where applicable, in the matter of prevention of money laundering and terrorist financing.

g. Act as the interlocutor of the obligated party before the UIF-Perú.

h. Issue annual reports on the status of the prevention system in general and its compliance.

i. Safeguard the records and other documents required for the prevention of money laundering and terrorist financing.

j. Periodically review on the FATF website (www.fatf-gafi.org) the list of non-cooperative countries and territories, as well as the OFAC list, adopting the necessary preventive measures.

k. Periodically review on the United Nations website (www.un.org/es) the lists of persons and companies or entities involved in terrorist activities or that finance them, especially those issued by the United Nations Security Council, under Chapter VII of the UN Charter; if any of them is or has been a client of the obligated subject, it shall adopt the necessary preventive measures, and must report such cases to the UIF-Peru.

l. Periodically review on the Superintendency's website (www.sbs.gob.pe) the list of Politically Exposed Persons (PEP).

m. Any others that are necessary to monitor the operation and level of compliance of the anti-money laundering and terrorist financing prevention system.”

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“Artículo 20.- Anexos

The following form an integral part of this regulation:

Annex Nº 1: Warning Signs

Annex Nº 2: Form for the Registry of Operations (ROP)

Annex Nº 3: Form for the Report of Suspicious Operations (ROS)

Annex Nº 4: Basic content of the Manual for the prevention of money laundering and terrorist financing.”

Article Second.- Incorporate article 16-A into the Regulation for the Prevention of Money Laundering and Terrorist Financing, of general application to obligated reporting subjects that lack supervisory bodies, approved by SBS Resolution Nº 486-2008, which shall be worded as follows:

“Article 16-A.- On the Corporate Compliance Officer

Obligated subjects that are part of the same economic group may appoint a single Corporate Compliance Officer, for which they must have the express approval of the Superintendency, and if applicable, of the heads of the supervisory bodies of the other obligated subjects that make up the economic group, which are not supervised by the Superintendency. The Compliance Officer is solely responsible for the prevention system of each of the obligated subjects that are part of the economic group.

For the approval of the position of Corporate Compliance Officer, the obligated subjects must submit an authorization request addressed to the Deputy Superintendent of the UIF-Peru, attaching the following information:

1. The list of companies that make up the economic group.

2. The Report supporting the feasibility of having a Corporate Compliance Officer for the entire economic group, based on the money laundering and terrorist financing risks they face, and that it will not harm or endanger compliance with current regulations and the correct application of the prevention systems of the obligated subjects that make up said economic group.

3. Undocumented Resume of the Corporate Compliance Officer, in the nature of a sworn statement.

4. Sworn Statement indicating that the appointment of the Corporate Compliance Officer has the approval of each of the obligated subjects that make up the economic group.

5. If any of the obligated subjects that make up the economic group is supervised by a body other than the Superintendency, a copy of the authorization or authorizations issued by the competent supervisory bodies must be attached, so that those under their supervision have a Corporate Compliance Officer. A copy of the filing fees for said applications may be attached to prove that they are in process. In any case, the Superintendency will not rule until the respective authorizations are submitted.

6. Documentation proving the requirements referred to in article 16 of this regulation.

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The Deputy Superintendent of the UIF-Peru will resolve the application based on the information submitted, the reports issued by the competent areas of the Superintendency, if applicable, the authorizations of the other supervisory bodies, if applicable, and its own evaluation carried out based on the information in its database.

In the case of replacement of the person holding the position of Corporate Compliance Officer and, provided that the economic group has not changed substantially in relation to the one they had at the time of the initial approval, the obligated subjects must inform said replacement to the Deputy Superintendent of the UIF-Peru, attaching the documentation detailed in numerals 3, 4 and 6 of this article.”

Article Three.- Replace Annexes 1, 2 and 3 of SBS Resolution No. 486-2008, named “Alert Signals”, “Operations Registry (ROP)” and “Suspicious Operations Report (ROS)”, respectively, with the formats that form an integral part of this resolution, which will be published on the electronic portal of the Superintendency of Banking, Insurance and Private Pension Fund Administrators (www.sbs.gob.pe) on the same date of publication of this Resolution, in accordance with the provisions of article 9 of Supreme Decree No. 001-2009-JUS.

Article Four.- All subjects obligated to report under the scope of SBS Resolution No. 486-2008, to which this resolution refers, are under the supervision in matters of prevention of money laundering and terrorist financing of the Superintendency of Banking, Insurance and Private Pension Fund Administrators, through the UIF-Peru, at the national level, therefore within a period not exceeding sixty (60) days, counted from the day following the date of entry into force of this resolution, they must prove to the UIF-Peru the designation of their respective Compliance Officers.

Without prejudice to this, they will have an adaptation period of ninety (90) days counted from the day following its entry into force, to implement their respective Money Laundering and Terrorist Financing Prevention Systems.

Article Five.- Incorporate procedures No. 138 “Application for designation of Compliance Officer with Non-Exclusive Dedication for those companies that are within the parameters indicated in subsections a) to e) of Art. 21 of SBS Resolution No. 838-2008”, No. 139 “Application for designation of Compliance Officer with Non-Exclusive Dedication for branches of foreign Banks in Peru”, No. 140 “Application for designation of Corporate Compliance Officer for the case of obligated subjects included in SBS Resolution No. 838-2008”, No. 141 “Application for Exclusion of the Obligation to have the Operations Registry for obligated subjects included within the scope of SBS Resolution No. 838-2008”, and No. 142 “Application for designation of Corporate Compliance Officer for the case of obligated subjects that do not have their own supervisory body and are supervised by the SBS in matters of money laundering and terrorist financing, through the UIF-Peru” in the Single Text of Administrative Procedures - TUPA of the Superintendency of Banking, Insurance and AFP approved by SBS Resolution No. 131-2002, according to the text attached to this Resolution and published in accordance with the provisions of Supreme Decree No. 004-2008-PCM, Regulation of Law No. 29091. (Institutional portal: www.sbs.gob.pe). (*)

SUPERINTENDENCY OF BANKING, INSURANCE AND AFP
Republic of Peru

Article Six.- This resolution will enter into force on the day following its publication in the Official Gazette El Peruano.

Register, communicate and publish.

FELIPE TAM FOX
Superintendent of Banking, Insurance and
Private Pension Fund Administrators