Regulatory Alerts2026-06-15
Added · Updated
Superintendent Resolution No. 067-2026-SMV/02
The Superintendent of the Securities Market partially upholds the appeal filed by FLIP Sociedad Administradora de Fondos S.A.C. against Resolution No. 003-2026-SMV/10, which had imposed a fine of four UIT (S/ 17,600.00) for three serious infractions. The resolution reduces the sanction for the infractions related to investment diversification limits in the "Independiente Agresivo Dólares FMIV" and "Independiente PMG FMIV" funds from a fine to a reprimand, while maintaining the fine for the failure to constitute the required guarantee for the "Independiente Agresivo Dólares FMIV" fund. The decision rejects FLIP's arguments that investing in Exchange Traded Funds (ETFs) exempts them from diversification limits and that the guarantee omission lacked material impact.
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