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The Company Sociedad Interbancaria de Depósito de Valores S.A. (Banks) 30% Inversiones DCV S.A. (AFP) 30% Santiago Stock Exchange 23% DCV Vida S.A. (Insurance Company) 10% Inversiones Bursátiles S.A. (Electronic Market) 6% Valparaiso Brokers Exchange and others 1% DCV Ownership INCORPORATION Private Entity created in March 1993, commencing operations in September of LEGAL FRAMEWORK Law and DL Regulation. SUPERVISION Superintendence of Securities and Insurance. Business Committee HR and Compensation Committee Audit and Operational Risk Committee Technology and Processes Committee Corporate Governance 10 Board Members 4 board Committees 2
3 DCV 23 YEARS INNOVATING IN THE CAPITAL MARKET DCV REGISTROS Securities Custody (public and private) Registry and Settlement Tx Corporate Actions Dematerialized Issues Electronic Pledges System Securities Custody MILA B.V.E. Registry and Reports Electronic Signatures Custody Reg. of Shareholders Investment Funds Mutual Funds OMGEO Services Mutual Funds Quotas Custody Statistical Reports DCV REGISTROS International Custody TR OTC Derivatives National Custody The Company
FIGURES – JANUARY 2016 UF 6,889 million Includes national and international custody Custody USD 248 billion 133,691 OPERATIONS IN THE MONTH OF JANUARY 96.4% INSTRUMENTS ISSUED IN DEMATERIALIZED FORM 4 The Company DIRECT PARTICIPANTS REGISTRIES ADMINISTRATED 1,711 SYSTEM OPERATORS 156 DEBT ISSUERS
5 Regulating Entities Regulating Entities External Audit(Ernst&Young) Surveillance Committee (selected by Participants) Superintendence of Securities and Insurances(SVS) Superintendence of Pensions(SP) UAF (Financial Analysis Unit) Insurance Policy: Amount insured: 0.1% of the amount kept in custody FIPI (Professional Civil Liability), Employee fidelity, D&O (Directors and executives) Terrorism Any operational risk Memberships ACSDA (Americas’ Central Securities Depositories Association) ANNA (Association of National Numbering Agencies) ISSA (International Securities Services Association) Certifications and Qualifications Thomas Murray A+ ISO SSAE-16 ITIL COBIT CISA Adoption & implementation of crime prevention model certified Registered with the IRS to comply with FATCA (Foreign Account Tax Compliance Act) Registered as Single Financial Institution Other information
Principal Initiatives 2016 National Custody Projects Repos Securities Lending BRAA immobilization and dematerialization International Custody Projects Intraday settlement facilities Fundsettle – Custody Model Securities Pledge Securities Lending Omgeo - Buy Side Model Forward Incorporation of new currencies 6
Principal Initiatives 2016 Corporate Projects ISO Project: Joint initiative with BCCH to migrate some services (Trading, Pledge and Instruments Creation) to a SWIFT messaging platform. DCV Evolution: Initiative whose purpose is to define the technological migration process of DCV’s Core service. CCP – Market – DCV Initiatives: set of projects aimed to improve the current services used for the clearing and settlement of securities in the clearing houses. 7
8 Regional Integration The international custody service allows participants who invest in securities abroad to custody those investments through DCV International Network
DCV: Av. Apoquindo 4001 Piso 12, Las Condes DCV Registros: Huérfanos 770 Piso 22, Santiago Centro