PERÚ Ministerio de Economía y Finanzas
SMV
Superintendency of the Market de Valores

“Decade of Equal Opportunities for Women and Men” "Year of the Bicentennial, of the consolidation of our Independence, and of the commemoration of the heroic battles of Junín and Ayacucho"

SMV General Intendancy Resolution No. 003-2024-SMV/11.1

Lima, 29 January 2024

The General Intendant of Conduct Supervision

Whereas:

File No. 2023053354, as well as Internal Report No. 106-2024-SMV/11.1, of the General Intendancy of Conduct Supervision of the Deputy Superintendency of Market Conduct Supervision.

Considering:

That, by means of writings submitted on 28 December 2023 and 23 January 2024, Copen Inversiones S.A. requested the Superintendencia del Mercado de Valores – SMV, through the Single Window system, the registration of the common shares representing its share capital in the Public Registry of the Securities Market and in the Securities Registry of the Lima Stock Exchange;

That, from the review carried out on the information and documentation submitted by Copen Inversiones S.A., it is noted that at the General Shareholders' Meeting of Copen Inversiones S.A. of 08 December 2023, it was agreed, among others, the registration of the common shares representing the share capital of the aforementioned company in the Public Registry of the Securities Market and in the Securities Registry of the Lima Stock Exchange;

That, in accordance with the provisions of article 7, numeral 7.3, of the Regulation for Registration and Exclusion of Securities in the Public Registry of the Securities Market and in the Stock Exchange, approved by Resolution No. 031-2012-SMV/01 and its amending norms, the Lima Stock Exchange S.A., by means of Letter EMI-140/2023, indicated to the SMV that, having carried out the review of the request of Copen Inversiones S.A., it had no observation regarding said information;

That, from the evaluation of the documentation and information submitted to the SMV, it can be maintained that Copen Inversiones S.A. has submitted the requirements demanded by the Single Ordered Text of the Securities Market Law, Legislative Decree No. 861, approved by Supreme Decree No. 020-2023-EF, and by the Regulation for Registration and Exclusion of Securities in the Public Registry of the Securities Market and in the Stock Exchange;

That, in accordance with the provisions of articles 3 and 210 of the Single Ordered Text of the Securities Market Law, any limitation to the free transferability of the securities contained in the bylaws shall be without effect

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legal, as well as once the securities are registered in the Public Registry of the Securities Market, the book-entry registry of the securities clearing and settlement institution shall prevail, with respect to any other registry of the issuing company of said securities;

That, article 7, numeral 6, of the Policy on Dissemination of Regulatory Projects, General Legal Norms, Early Agenda and Other Administrative Acts of the SMV, approved by SMV Resolution No. 014-2014-SMV/01 and its amendments, establishes that the decisions contained in the administrative resolutions that resolve, among others, the registration of securities in the Public Registry of the Securities Market, must be disseminated through the Institutional Page of the SMV on the Single Digital Platform of the Peruvian State for Citizen Orientation (www.gob.pe/smv); and,

In accordance with the provisions of article 19 and following of the Single Ordered Text of the Securities Market Law, articles 6, 7 and 8 of the Regulation for Registration and Exclusion of Securities in the Public Registry of the Securities Market and in the Stock Exchange; as well as article 46, numeral 6, of the Regulation of Organization and Functions of the SMV, approved by Supreme Decree No. 216-2011-EF and its amending norms, which empowers the General Intendancy of Conduct Supervision to order the registration of securities in the Public Registry of the Securities Market.

Resolves:

Article 1.- To order the registration of the common shares representing the share capital of Copen Inversiones S.A. in the Public Registry of the Securities Market, under the charge of the Superintendencia del Mercado de Valores – SMV.

Article 2.- To rule in favor of the registration of the securities indicated in the preceding article in the Securities Registry of the Lima Stock Exchange.

Article 3.- The registration of the securities referred to in this resolution has not entailed administrative verification or inspection activities, nor an audit of the information submitted, nor an examination of the economic-financial situation of the issuer, in accordance with the provisions of article 21 of the Single Ordered Text of the Securities Market Law.

Likewise, the registration of the aforementioned securities does not imply certification by the Superintendencia del Mercado de Valores – SMV as to their soundness, the solvency of the issuer, or the risks of the security or the offering; the issuer being responsible for the truthfulness of the information submitted to the market, in accordance with the provisions of articles 13 and 24 of the Single Ordered Text of the Securities Market Law.

Article 4.- To disseminate this resolution on the Institutional Page of the SMV on the Single Digital Platform of the Peruvian State for Citizen Orientation (www.gob.pe/smv).

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Article 5.- Transcribe this resolution to Copen Inversiones S.A., as issuer; to the Bolsa de Valores de Lima S.A.; and, to CAVALI S.A. I.C.L.V.

Register, communicate and disseminate.

Signed by: GODOS GARCIA Alix Fernando
Reason:

Alix Godos
General Intendant
General Intendancy of Conduct Supervision

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