SMV Resolution No. 001-2024-SMV/01

Lima, 2 February 2024

WHEREAS:

File No. 2024002829, and Joint Report No. 110-2024-SMV/06/09/12 dated 26 January 2024, issued by the Legal Advisory Office, the Information Technology Office and the Deputy Superintendency of Research, Development and Innovation, as well as the draft Regulation of the MVNet System and SMV Virtual (hereinafter, the “PROJECT”);

CONSIDERING:

That, in accordance with article 1 of the Single Concorded Text of the Organic Law of the Superintendency of the Securities Market – SMV, approved by Decree Law No. 26126 and its amendments (hereinafter, Organic Law of the SMV), the SMV's purpose is to safeguard investor protection, the efficiency and transparency of the markets under its supervision, the correct formation of prices and the dissemination of all information necessary for such purposes, through regulation, supervision and promotion;

That, in accordance with literal b) of article 5 of the Organic Law of the SMV, the Board of Directors of the SMV has the attribution to approve the regulations of the securities market, products market and collective funds system, as well as those to which natural or legal persons subject to its supervision must adhere;

That, by Superintendency Resolution No. 092-2020-SMV/02, the current Regulation of the MVNet System and SMV Virtual (hereinafter, the “REGULATION”) was approved, which regulates the use of the MVNet System and SMV Virtual for the provision of digital services and the exchange of information through digital platforms between natural and legal persons and the Superintendency of the Securities Market – SMV;

That, Law No. 31170 “Law that provides for the implementation of digital filing desks and electronic notifications” (hereinafter, Law No. 31170), establishes that public administration entities implement digital services of digital filing desk and electronic notification, which must respect the principles, rights and guarantees of due process, without affecting the right to defense and equality of the parties, as well as the provision of digital public services indicated in article 18 of Legislative Decree No. 1412, Legislative Decree approving the Digital Government Law;

That, although the REGULATION establishes that the digital platforms, MVNet and SMV Virtual, constitute the filing desk of the Superintendency of the Securities Market - SMV, which allows the reception of writings, requests and

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Electronic document digitally signed within the framework of Law No. 27269, Law of Digital Signatures and Certificates, its Regulation and amendments.
The integrity of the document and the authorship of the( s) sign ature( s) can be verified at https://apps.fi rmaperu.gob.pe/web/validador.xhtml

electronic documents sent by persons in general, whether natural or legal, to the SMV, the PROJECT, among others, specifies that said filing desk has the status of digital filing desk of the SMV, thus adapting to the provisions established in article 3 of Law No. 31170;

That, likewise, in accordance with the provisions of articles 5 and 6 of Law No. 31170, it is expressly stated that the validity of the identity and digital signature of the officials who issue administrative acts by the SMV, contained in electronic documents, is guaranteed by the corresponding digital certificates, which in the case of the SMV, has been carried out for more than twenty (20) years;

That, on the other hand, the PROJECT incorporates, among other changes, the Agile Digital Filing Desk, whose purpose is to simplify its use for persons who wish to initiate their procedure without prior authentications, in addition to providing the possibility of notification by email or electronic mailbox;

That, with the purpose of facilitating the understanding of the regulations, it has been deemed convenient to issue a new norm, so that the Project collects the provisions established in the Regulation, and the regulatory changes mentioned in the preceding recitals, among other aspects;

That, the Multisectoral Commission for Regulatory Quality declared on 24 January 2024, that it is not appropriate to carry out the Ex Ante RIA by the SMV for the approval of the Project, under the provisions of numeral 18 of subsection 28.1 of article 28 of the Regulation that develops the Institutional framework governing the Regulatory Quality Improvement Process and establishes the General Guidelines for the application of the Ex Ante Regulatory Impact Analysis, approved by Supreme Decree No. 063-2021-PCM;

That, according to the provisions 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, it is considered necessary to disseminate the Project in public consultation, through the Institutional Page of the Superintendency of the Securities Market 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, so that the public can submit their suggestions or comments to the proposal; and,

In accordance with the provisions of literal a) of article 1 and literal b) of article 5 of the Organic Law of the SMV, numeral 2 of article 9 of the Regulation of Organization and Functions of the Superintendency of the Securities Market (SMV), approved by Supreme Decree No. 216-2011-EF, as well as what was agreed by the Board of Directors of the SMV in its session of 31 January 2024;

IT IS RESOLVED:

Article 1.- Authorize the dissemination of the draft Regulation of the MVNet and SMV Virtual System.

Article 2.- Provide that the draft indicated in the preceding article be disseminated for public consultation on the Institutional Page of the Superintendency of the Securities Market on the Single Digital Platform of the Peruvian State (www.gob.pe/smv).

Article 3.- The period for interested persons to submit their comments and observations to the Superintendency of the Securities Market on the draft indicated in the preceding articles is thirty (30) calendar days, counted from the day following the date of publication of this resolution in the Official Gazette El Peruano.

Article 4.- The comments and observations referred to in the preceding article may be sent to the following email address: proymvnet@smv.gob.pe.

Register, communicate and publish.

Lorena Masías Quiroga
Superintendent of the Securities Market

Signed by: VARGAS PIÑA Julio Cesar FAU 20131016396 soft

Signed by: ESPINOZA ALDAVE Jose Antonio FAU 20131016396 soft

Signed by: RIVERO ZEVALLOS Carlos Fabian FAU 20131016396 soft

Signed by: GIL VASQUEZ Liliana FAU 20131016396 soft

Signed by: MASÍAS QUIROGA Rosa Lorena FAU 20131016396 soft

Electronic document fi rmado digitally within the framework of Law No. 27269, Law of Fi rmas and Digital Certificates, its Regulation and amendments.
The integrity of the document and the authorship of the( s) fi rma( s) can be verified at https://apps.fi rmaperu.gob.pe/web/validador.xhtml