Superintendent's Resolution No. 095-2026-SMV/02

PERU Ministry of Economy and Finance

SMV
Superintendency of Securities Market
“Decade of Equal Opportunities for Women and Men” “Year of Hope and the Strengthening of Democracy” 1 Electronic document digitally signed within the framework of Law N° 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's Resolution N° 095-2026-SMV/02 Lima, September 8, 2026 The Superintendent of the Securities Market HAVING SEEN:
File N° 2026039642 and Memorandum N° 4250-
2026-SMV/07, from the Office of Planning, Management and Integrity, by which the institutional Policy for the safe, responsible and ethical use of artificial intelligence (AI) systems – version 1.0 is submitted; WHEREAS:
That, the National Digital Transformation Policy to 2030 promotes the strategic and responsible use of emerging technologies, including artificial intelligence, as enablers of institutional efficiency, public innovation, and citizen trust; That, Legislative Decree N° 1412, Digital Government Law, establishes the digital government governance framework for the adequate management of digital identity, digital services, digital architecture, interoperability, digital security and data, as well as the legal regime applicable to the transversal use of digital technologies in the digitalization of processes and provision of digital services by Public Administration entities at all three levels of government; That, by Supreme Decree N° 029-2021-PCM dated February 18, 2021, the Regulations of Legislative Decree N° 1412, Digital Government Law, were approved, which establishes the obligation of Public Administration entities to approve and implement an institutional policy for the safe, responsible and ethical use of artificial intelligence-based systems; That, Article 28 of the Regulations of Law N° 31814 provides that public entities must approve an institutional policy for the safe, responsible and ethical use of AI-based systems, which must contain, at a minimum, the principles established in the aforementioned Regulations, to ensure their development, implementation and use with a focus on the protection of fundamental rights and social welfare:
That, in order to comply with the aforementioned regulatory provisions and provide the institution with an adequate governance framework that regulates the use of AI tools in the institutional, regulatory and supervisory processes of the securities market, ensuring at all times the principle of human supervision, the protection of privacy and personal data, as well as management based on risk mitigation and sustainability, the need was determined to have an institutional Policy for the safe, responsible and ethical use of

PERU Ministry of Economy and Finance

SMV
Superintendency of Securities Market
“Decade of Equal Opportunities for Women and Men” “Year of Hope and the Strengthening of Democracy” 2 Electronic document digitally signed within the framework of Law N° 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 artificial intelligence (IA) systems, whose draft was approved by the Digital Government and Transformation Committee; and, In accordance with the provisions of numeral 21 of Article 3 of the Consolidated Text of the Organic Law of the SMV, approved by Legislative Decree N° 26126, and numeral 16 of Article 12 of the Regulations on Organization and Functions of the SMV, approved by Supreme Decree N° 216-2011-EF and its amendments; RESOLVES:
Article 1.- To approve the “POL-GES-GAD-008 - Institutional Policy for the safe, responsible and ethical use of artificial intelligence (AI) systems” – version 1.0 which, as an annex, forms an integral part of this resolution.
Article 2.- To order the publication of this resolution and its annex on the Institutional Page of the Superintendency of Securities Market on the Single Digital Platform of the Peruvian State (www.gob.pe/smv).
Register, communicate and publish.
Zósimo Juan Pichihua Serna
Superintendent of the Securities Market