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

Superintendent Resolution No. 008-2024-SMV/02

Lima, 29 January 2024

The Superintendent of the Securities Market

WHEREAS:

File No. 2024003304 and Joint Memorandum No. 431-2024-SMV/06/12 dated 29 January 2024, from the Office of Legal Counsel and the Deputy Superintendency for Research, Development and Innovation;

CONSIDERING:

That, by Supreme Decree No. 063-2021-PCM, 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 (hereinafter, “RIA Regulation”) was approved, which recognizes in numerals 3 and 8 of section 8.1 of its article 8, the Ex Ante Regulatory Impact Analysis (Ex Ante RIA) and the Early Agenda, as instruments for improving regulatory quality;

That, the Ex Ante RIA is a prior analysis process carried out on a public problem in order to adopt the best solution alternative (regulatory or non-regulatory), considering the identification and analysis of risks, based on the evaluation of probable results, benefits and costs of the different types of intervention to solve the public problem;

That, numeral 10.1 of article 10 of the RIA Regulation provides that public entities of the Executive Branch have the obligation to carry out the Ex Ante RIA prior to the preparation of normative provisions of a general nature, when these establish, incorporate or modify rules, prohibitions, limitations, obligations, conditions, requirements, responsibilities or any requirement that generates or implies a variation of costs in their compliance by companies, citizens or civil society, that limits the granting or recognition of rights for the optimal development of economic and social activities that contribute to integral, sustainable development, and social welfare;

That, likewise, article 13 of the RIA Regulation states that public entities have the obligation to initiate the process of preparing the Ex Ante RIA and subsequent design of the regulatory alternative, if applicable, prior inclusion of the matter in their Early Agenda. The same article provides that public entities prepare and publish their Early Agenda no later than the last business day of January of each year on their institutional portal, and approve said document by resolution of the Head of the public entity;

PERU Ministry of Economy and Finance
SMV
Superintendency of the Securities
Market
“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"

That, by Ministerial Resolution No. 163-2021-PCM, the Guidelines for the application of the Early Agenda and Public Consultation under the Ex Ante Regulatory Impact Analysis were approved; and, by Resolution of the Secretariat of Public Management No. 012-2021-PCM-SGP, the Single Format of Early Agenda and the Guide for Public Consultation under the Regulatory Impact Analysis were approved;

That, the aforementioned provisions establish the regulatory framework referring to the Early Agenda, an instrument through which public entities identify and publish their public problems, taking into account the scope of the Ex Ante RIA established in article 10 of the RIA Regulation;

That, the publication of the Early Agenda has as objectives to achieve programming, predictability and transparency in the regulatory production process. In that sense, the aim is to inform citizens about the public problems preliminarily identified by public entities, with the latter having the possibility of providing contributions regarding the vision of the problem, providing comments or suggestions on possible solutions or impacts, as well as providing any pertinent and relevant information that, in their judgment, contributes to addressing the identified public problem;

That, by Superintendent Resolution No. 007-2023-SMV/02, the 2023 Early Agenda of the Superintendency of the Securities Market, SMV, was approved, thereby evidencing the SMV's commitment to transparency in the regulatory production process that it has been showing for years, providing predictability to the market and promoting citizen participation in the exercise of its regulatory function, since it is convinced that this contributes to generating better regulatory results;

That, in compliance with the aforementioned regulations, the 2024 Early Agenda of the Superintendency of the Securities Market, SMV, is approved and made available to the public, reaffirming its commitment mentioned in the previous recital; and,

In accordance with the provisions of article 2 of the Single Concorded Text of the Organic Law of the Superintendency of the Securities Market, approved by Legislative Decree No. 26126 and its amendment; article 10 and numeral 35 of article 12 of its Regulation of Organization and Functions, approved by Supreme Decree No. 216-2011-EF and its amendment;

RESOLVES:

Article 1.- Approve the 2024 Early Agenda of the Superintendency of the Securities Market, SMV, which, in annex, forms an integral part of this resolution.

Article 2.- Order the publication of the 2024 Early Agenda of the SMV on the Institutional Page of the Superintendency of the Securities Market, on the Single Digital Platform of the Peruvian State (www.gob.pe/smv), in its offices, as well as on its social networks.

Electronically signed document digitally signed under the framework of Law No. 27269, Law on Digital Signatures and 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

Article 3.- Transcribe this resolution to the Technical Secretariat of the Multisectoral Commission for Regulatory Quality, within a maximum period of seven (7) business days counted from the day following its publication on the Portal of the Superintendency of the Securities Market.

Register, communicate and publish.

Lorena Masias Quiroga
Superintendent of the Securities Market

Electronic document fi rmado digitally signed under 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

Reason:

Signed by: VARGAS PIÑA Julio Cesar FAU 20131016396

Reason:

Signed by: RIVERO ZEVALLOS Carlos Fabian FAU 2013

Reason:

Signed by: SOTOMAYOR REDOLET Silvia Grimalesa F.

Reason: 2024-1000145005

Signed by: MASÍAS QUIROGA Lorena