Regulatory Alerts2026-01-16
Added · Updated
Superintendence Resolution No. 004-2026-SMV/10
Sociedad Agente de Bolsa Sura S.A. is fined 3,468 UIT (S/ 15,952.80) for a minor infraction under Annex I, numeral 3, clause 3.1 of the Sanctions Regulation for failing to submit its 2021 annual individual financial statements and external audit report by the February 28, 2022 deadline. The Superintendence of the Securities Market rejected the entity's force majeure defense based on the COVID-19 state of emergency, ruling that the prolonged nature of the emergency made the event foreseeable and thus not an exempting circumstance. The resolution confirms that the obligation to present the information rests with the brokerage society, not the auditor, and that voluntary late submission does not exempt the entity from liability.
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