Superintendent Resolution No. 036-2026-SMV/02

PERU Ministry of Economy and Finance

SMV Securities Market Superintendence "Decade of Equal Opportunities for Women and Men" "Year of Hope and Strengthening of Democracy" Electronically signed document within the framework of Law No. 27269, Law of Digital Signatures and Certificates, its regulations and amendments. The integrity of the document and the authorship of the signature(s) can be verified at https://apps.firmaperu.gob.pe/web/validador.xhtml

Superintendent Resolution No. 036-2026-SMV/02 Lima, March 31, 2026

The Superintendent of the Securities Market

HAVING SEEN:

The memorandum No. 1598-2026-SMV/07 of the Office of Planning, Management and Integrity;

CONSIDERING:

That, through Supreme Decree No. 092-2017-PCM, the National Policy of Integrity and Fight Against Corruption is approved, which aims to have transparent and integrity institutions that practice and promote probity in the public sphere, business sector and civil society; and to guarantee the effective prevention and sanction of corruption at the national, regional and local levels, with the active participation of citizens;

That, through Supreme Decree No. 148-2024-PCM, the Integrity Model is approved, which aims to strengthen the integrity culture of public entities, to increase their capacity for prevention and response against unethical or corrupt practices, which includes principles, components and criteria for its implementation and evaluation in entities of the public sector;

That, section 4.14 of article 4, concordant with subsection b) of section 11.2 of article 11 of the aforementioned Supreme Decree No. 148-2024-PCM, establishes that the Integrity Program constitutes a work plan through which the public entity plans the development of actions to be executed in a certain period to advance in the implementation of the Integrity Model; this document is of annual periodicity and is approved by resolution of the head of the entity;

That, section 7.1 of article 7 of Directive No. 001-2026-PCM/SIP "Directive for the implementation of the Integrity Model in entities of the public sector", approved by Resolution of the Public Integrity Secretariat No. 002-2026-PCM/SIP, establishes as one of the two tasks to be developed in the planning process of the implementation of the Integrity Model the elaboration of the Integrity Program. It is specified that the purpose of this document is to guide continuous improvement in the development of an institutional integrity culture through the annual planning of actions to implement the Integrity Model;

That, in accordance with article 21 of the Regulation of Organization and Functions of the Securities Market Superintendence approved by Supreme Decree No. 216-2011-EF and its amendments, the Office of Planning, Management and Institutional Integrity is the organizational unit responsible for exercising the integrity function according to the regulations in this matter; accompany and guide the different areas in the fulfillment of the responsibilities that correspond to them in the scope of the SMV Integrity Model; monitor and supervise its compliance; in addition, propose integrity policies oriented towards ethics in management and report directly to the Superintendent;

That, consequently, the Office of Planning, Management and Integrity proposes to approve the "SMV Integrity Program 2026" which contains descriptive and detailed information of the actions to be developed during 2026 for the implementation of the nine (09) components of the Integrity Model; and,

Being in accordance with what is established in article 12, numeral 14 of the Regulation of Organization and Functions of the SMV, approved by Supreme Decree No. 216-2011-EF and its amendments;

RESOLVES:

Article 1.- Approval

Approve the Integrity Program of the Securities Market Superintendence 2026 (SMV Integrity Program 2026), which as an annex forms an integral part of this resolution.

Article 2.- Implementation

The implementation of the actions established in the SMV Integrity Program 2026, approved in the preceding article, is the responsibility of the organizational units and/or responsible parties included in said Program, who are obligated to provide information on their compliance to the Office of Planning, Management and Integrity for the follow-up and timely presentation of the progress report to the Public Integrity Secretariat in the evaluation of the Preventive Capacity Index against Corruption 2026.

Article 3.- Publication

Publish this Resolution and its annex on the digital site of the Securities Market Superintendence (www.gob.pe/smv).

Register, communicate and publish.

Zósimo Juan Pichihua Serna Superintendent of the Securities Market