Agreement establishing the electronic means and official format for credit institutions to submit notices regarding information exchange agreements under Article 62 Octies of the General Provisions

DIARIO OFICIAL Monday, March 4, 2024
SECRETARY OF FINANCE AND PUBLIC CREDIT
AGREEMENT establishing the electronic means and issuing the official format for credit institutions to submit the notice referred to in the second paragraph of Article 62 Octies of the General Provisions referred to in Article 115 of the Credit Institutions Law.

At the margin, a seal with the National Coat of Arms, stating: United Mexican States.- FINANCE.- Ministry of Finance and Public Credit.- National Banking and Securities Commission.

The National Banking and Securities Commission, based on the provisions of Articles 4, fraction XXXVI, and 16, fraction I of the Law of the National Banking and Securities Commission; Articles 61 Octies and 62 Octies, second paragraph of the General Provisions referred to in Article 115 of the Credit Institutions Law, in relation to Articles 52, penultimate and last paragraphs, 98 Bis, and 115 Bis of the Credit Institutions Law, and

CONSIDERING

That, in accordance with Article 78 of the General Law for Regulatory Improvement and with the aim of reducing the compliance cost of this Agreement, the National Banking and Securities Commission published on June 13, 2018, in the Official Gazette of the Federation, the "Resolution modifying the general provisions applicable to securities issuers and other participants in the securities market," through which it was determined that securities issuers are no longer obligated to prepare an informational brochure containing the public acquisition offer;

That, through a Resolution published in the Official Gazette of the Federation on March 3, 2022, modifications were made to the "General Provisions referred to in Article 115 of the Credit Institutions Law," including, among others, the incorporation of provision 62 Octies;

That, in terms of Article 62 Octies of the "General Provisions referred to in Article 115 of the Credit Institutions Law," credit institutions are authorized to exchange information regarding the background or known activity of their Clients or Users, as well as statistical information concerning reports of Unusual Operations referred to in Article 37, and 24-hour Unusual Operations provided for in Article 41, both of the aforementioned Provisions, as well as information regarding the circumstances considered when issuing the opinion on the corresponding unusual operation. Such exchange may be carried out with: i) Foreign financial institutions when they are subsidiaries thereof; ii) Foreign financial entities in which they hold direct or indirect investments in securities representing their share capital, as well as with financial intermediaries that are their subsidiaries; and iii) Foreign Financial Entities with which they conduct correspondent banking operations;

That, in accordance with the second paragraph of Article 62 Octies of the Provisions mentioned in the previous paragraph, credit institutions, in the event that they decide to carry out the aforementioned information exchange, are obligated to enter into agreements with the corresponding foreign entity or financial institution, establishing the applicable confidentiality terms for the shared information, as well as the positions of the authorized officials of both parties to carry out such exchange. Furthermore, the obligation to notify the National Banking and Securities Commission regarding the aforementioned agreements is established before the corresponding information exchange is finalized, and

That, consequently, it is necessary to establish the appropriate electronic means and issue the official format to notify the National Banking and Securities Commission regarding the signing of the aforementioned agreements, it has been resolved to issue the following:

AGREEMENT ESTABLISHING THE ELECTRONIC MEANS AND OFFICIAL FORMAT FOR CREDIT INSTITUTIONS TO SUBMIT THE NOTICE REFERRED TO IN THE SECOND PARAGRAPH OF ARTICLE 62 OCTIES OF THE GENERAL PROVISIONS REFERRED TO IN ARTICLE 115 OF THE CREDIT INSTITUTIONS LAW

Article 1.- This Agreement aims to establish the electronic means and issue the official format referred to in the second paragraph of Article 62 Octies of the Provisions, through which Entities must notify the Commission regarding agreements entered into for the exchange of information on the background or known activity of their Clients or Users, statistical information on information related to reports of Unusual Operations referred to in Article 37, and 24-hour Unusual Operations provided for in Article 41, both of said Provisions, as well as on the circumstances considered when determining the respective unusual operation, with:

i) Foreign financial institutions when they are subsidiaries thereof; ii) Foreign financial entities in which they hold direct or indirect investments in securities representing their share capital, as well as with financial intermediaries that are their subsidiaries; and, iii) Foreign Financial Entities with which they conduct correspondent banking operations.

Article 2.- In addition to the definitions contained in the Provisions, for the purposes of this Agreement, the following shall be understood, in singular or plural:

I. Provisions, referring to the "General Provisions referred to in Article 115 of the Credit Institutions Law," published in the Official Gazette of the Federation on April 20, 2009, and its respective modifications.

II. SITI PLD/FT, referring to the Interinstitutional Information Transfer System administered by the Commission.

Article 3.- Prior to carrying out the information exchange referred to in Article 1 of this Agreement, Entities must notify the Commission electronically through the SITI PLD/FT, in "XML" format with the extension "CIEE," regarding the information exchange agreement entered into between the Entities with: i) Foreign financial institutions when they are subsidiaries thereof; ii) Foreign financial entities in which they hold direct or indirect investments in securities representing their share capital, as well as with financial intermediaries that are their subsidiaries; or iii) Foreign Financial Entities with which they conduct correspondent banking operations. Such agreement must stipulate:

a) The confidential treatment to be given to the exchanged information, and b) The positions of the officials authorized by both parties to carry out the information exchange.

For the purposes of the foregoing, Entities must use the catalogs and other indications contained in the SITI PLD/FT, which will generate an electronic receipt acknowledging the name of the sending Entity, folio number, date, and time of receipt.

Entities are responsible for the integrity and quality of the information submitted in the notice, which must be sent only once and will be received assuming it meets all required characteristics, whereby it cannot be modified.

In the event that modifications to the agreements result in changes to the fields of Annex A, Entities must inform the Commission, referencing such modifications in the "Observations" field of said Annex A.

Article 4.- The Commission will make available to Entities, through the SITI PLD/FT and, where applicable, via its Internet portal, the catalogs provided by the Ministry and the Commission, so that Entities capture the information they must include in the notice referred to in this Agreement, which is contained in Annex A of this instrument.

Article 5.- The interpretation and handling of inquiries regarding this Agreement, as well as the resolution of cases not contemplated therein, shall correspond to the Commission, through the Vice Presidency of Preventive Process Supervision.

TRANSITORY PROVISIONS

FIRST. This Agreement shall enter into force the day following its publication in the Official Gazette of the Federation.

SECOND. The Commission shall have a period of thirty business days, from the date of entry into force of this Agreement, to enable the SITI PLD/FT and begin receiving the notices referred to in Article 3 of this Agreement.

THIRD. From the date of entry into force of this Agreement until the thirty-business-day period for the Commission to enable the SITI PLD/FT mentioned in the SECOND TRANSITORY PROVISION elapses, Entities may inform the Commission regarding the signing of agreements related to the information exchange referred to in Article 1 of this Agreement, through the email address prevencion.lavado@cnbv.gob.mx, and through a free-form letter addressed to the General Directorate for the Prevention of Operations with Resources of Illicit Origin B, providing all information detailed in the "FIELD NAME" column of Annex A of this Agreement.

Respectfully,
Mexico City, February 14, 2024.- President of the National Banking and Securities Commission, Dr. Jesús de la Fuente Rodríguez.- Signature.

DIARIO OFICIAL Monday, March 4, 2024
Annex A

NO.
FIELD NAME
XML LABEL
MANDATORY
DATA TYPE
LENGTH
FORMAT / MASK
BUSINESS RULES

A NOTICE DATA <aviso> Mandatory XML Tag N/A N/A VXSD: The tag is mandatory.
VXSD: The closing tag </aviso> must be found.

1
AGREEMENT DATA
<datos_convenio> Mandatory XML Tag N/A N/A
VXSD: The tag is mandatory.
VXSD: The closing tag </datos_convenio> must be found.

1.1
ENTITY KEY
<clave_entidad> Mandatory Alphanumeric 6
Format: "sectorentity" Pattern: 99-999
VXSD: The field is mandatory.
VXSD: The length is 6 characters.
VXSD: The field is alphanumeric and follows the pattern 99-999 representing the sector-entity format, where 9 corresponds to a character from 0-9. VXSD: The closing tag </clave_entidad> must be found. VC1R1: The field key must be according to the CASFIM catalog for financial entities.

1.2
DATE OF SIGNING OF THE ENTERED INTO AGREEMENT
<fecha_firma> Mandatory Numeric 8
Pattern: AAAAMMDD
VXSD: The field is mandatory.
VXSD: The length is 8 characters.
VXSD: The field is numeric and follows the pattern AAAAMMDD representing the date format, where:

• AAAA corresponds to the 4-digit year.
• MM corresponds to the 2-digit month.
• DD corresponds to the 2-digit day.
  VXSD: The closing tag </fecha_firma> must be found.
  VC2R1: The date must be earlier than the file reception date.

1.3
TYPE OF VALIDITY OF THE ENTERED INTO AGREEMENT <tipo_vigencia> Mandatory Numeric 2 Pattern: 99 VXSD: The field is mandatory.
VXSD: The length is 2 characters.
VXSD: The closing tag </tipo_vigencia> must be found.
VC3R1: The key must be according to the catalog provided by the CNBV as follows:
01: Indefinite duration.
02: Defined duration.

1.3.1 DEFINED VALIDITY <vigencia_definida> Optional XML Tag N/A N/A
VXSD: The tag is mandatory if the value of the field <tipo_vigencia> is equal to 02.
VXSD: The closing tag </vigencia_definida> must be found.

1.3.1.1
START DATE OF THE VALIDITY OF THE ENTERED INTO AGREEMENT <inicio_vigencia> Mandatory Numeric 8 Pattern: AAAAMMDD VXSD: The field is mandatory if the tag <vigencia_definida> exists. VXSD: The length is 8 characters. VXSD: The field is numeric and follows the pattern AAAAMMDD representing the date format, where:

• AAAA corresponds to the 4-digit year.
• MM corresponds to the 2-digit month.
• DD corresponds to the 2-digit day.
  VXSD: The closing tag </inicio_vigencia> must be found.
  VC4R1: The date must be earlier than the file reception date.

1.3.1.2
END DATE OF THE VALIDITY OF THE ENTERED INTO AGREEMENT <fin_vigencia> Mandatory Numeric 8 Pattern: AAAAMMDD VXSD: The field is mandatory if the tag <vigencia_definida> exists. VXSD: The length is 8 characters. VXSD: The field is numeric and follows the pattern AAAAMMDD representing the date format, where:

• AAAA corresponds to the 4-digit year.
• MM corresponds to the 2-digit month.
• DD corresponds to the 2-digit day.
  VXSD: The closing tag </fin_vigencia> must be found.

1.4
OBJECTIVE OF THE ENTERED INTO AGREEMENT
<objeto_convenio> Mandatory Alphanumeric 1-300 N/A VXSD: The field is mandatory.
VXSD: The minimum length is 1 character and maximum 300.
VXSD: The field is alphanumeric.
VXSD: Only accepts the following characters: letters A-Z (uppercase and without accents or umlauts), letter Ñ, space ( ), apostrophe ('), period (.). Note. Parentheses are not included in allowed characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </objeto_convenio> must be found.

2
POSITION OR POSITIONS OF THE AUTHORIZED OFFICIAL OR OFFICIALS OF THE ENTITY TO CARRY OUT THE INFORMATION EXCHANGE <cargo_funcionario_autorizado_entidad> Mandatory XML Tag N/A N/A VXSD: The tag is mandatory. VXSD: A tag </cargo_funcionario_autorizado_entidad> must be found for each person authorized to carry out the information exchange. VXSD: The closing tag </cargo_funcionario_autorizado_entidad> must be found.

2.1
NAME OF THE POSITION OF THE AUTHORIZED OFFICIAL OR OFFICIALS OF THE ENTITY TO CARRY OUT THE INFORMATION EXCHANGE <nombre_cargo_funcionario_autorizado_entidad> Mandatory Alphanumeric 1-60 N/A VXSD: The field is mandatory. VXSD: The minimum length is 1 character and maximum 60. VXSD: The field is alphanumeric. VXSD: Only accepts the following characters: letters A-Z (uppercase and without accents or umlauts), letter Ñ, space ( ), apostrophe ('), period (.). Note. Parentheses are not included in allowed characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </nombre_cargo_funcionario_autorizado_entidad> must be found.

3
DATA OF THE FOREIGN FINANCIAL ENTITY OR INSTITUTION <datos_entidad_financiera_extranjera> Mandatory XML Tag N/A N/A VXSD: The tag is mandatory. VXSD: The closing tag </datos_entidad_financiera_extranjera> must be found.

3.1
NAME OF THE FOREIGN FINANCIAL ENTITY OR INSTITUTION <nombre_entidad_financiera_extranjera> Mandatory Alphanumeric 1-300 N/A VXSD: The field is mandatory. VXSD: The minimum length is 1 character and maximum 300. VXSD: Only accepts the following characters: letters A-Z (uppercase and without accents or umlauts), letter Ñ, space ( ), apostrophe ('), period (.). Note. Parentheses are not included in allowed characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </nombre_entidad_financiera_extranjera> must be found.

3.2
TYPE OF FOREIGN FINANCIAL INSTITUTION
<tipo_entidad_financiera_extranjera> Mandatory Alphanumeric 1-300 N/A VXSD: The field is mandatory.
VXSD: The length is 2 characters.
VXSD: The closing tag </tipo_entidad_financiera_extranjera> must be found.
VC5R1: The key must be according to the catalog provided by the CNBV as follows:
01: Foreign financial institutions when they are subsidiaries thereof.
02: Foreign financial entities in which they hold direct or indirect investments in securities representing their share capital, as well as with financial intermediaries that are their subsidiaries. 03: Foreign Financial Entities with which they conduct correspondent banking operations.

3.3
POSITION OR POSITIONS OF THE AUTHORIZED OFFICIAL OR OFFICIALS OF THE FOREIGN FINANCIAL ENTITY OR INSTITUTION <cargo_funcionario_autorizado_entidad_financiera_extranjera> Mandatory XML Tag N/A N/A VXSD: The tag is mandatory. VXSD: A tag </cargo_funcionario_autorizado_entidad_financiera_extranjera> must be found for each person authorized to carry out the information exchange. VXSD: The closing tag </cargo_funcionario_autorizado_entidad_financiera_extranjera> must be found.

3.3.1
NAME OF THE POSITION OF THE AUTHORIZED OFFICIAL OR OFFICIALS OF THE FOREIGN FINANCIAL ENTITY OR INSTITUTION <nombre_cargo_funcionario_autorizado_entidad_financiera_extranjera> Mandatory Alphanumeric 1-60 N/A VXSD: The field is mandatory. VXSD: The minimum length is 1 character and maximum 60. VXSD: The field is alphanumeric. VXSD: Only accepts the following characters: letters A-Z (uppercase and without accents or umlauts), letter Ñ, space ( ), apostrophe ('), period (.). Note. Parentheses are not included in allowed characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </nombre_cargo_funcionario_autorizado_entidad_financiera_extranjera> must be found.

3.4
ADDRESS OF THE FOREIGN FINANCIAL ENTITY OR INSTITUTION <domicilio_entidad_financiera_extranjera> Mandatory XML Tag N/A N/A VXSD: The tag is mandatory. VXSD: The closing tag </domicilio_entidad_financiera_extranjera> must be found.

3.4.1
COUNTRY KEY WHERE THE ADDRESS IS LOCATED
<clave_pais> Mandatory Alphabetic 2 Format: AA VXSD: The field is mandatory.
VXSD: The length is 2 characters.
VXSD: The field is alphabetic.
VXSD: Only accepts the following characters: letters A-Z.
VXSD: The closing tag </clave_pais> must be found.
VC6R1: The field key must be according to the COUNTRY CATALOG provided by the UIF.

3.4.2
DATA IF THE ADDRESS IS UNIFIED OR SEPARATED
<tipo_domicilio> Mandatory XML Tag N/A N/A
VXSD: The tag is mandatory.
VXSD: The closing tag </tipo_domicilio> must be found.

3.4.2.1 UNIFIED ADDRESS <unificado> Optional XML Tag N/A N/A
VXSD: If the tag <separado> does not exist, then the tag <unificado> is mandatory. Both cannot exist.
VXSD: The closing tag </unificado> must be found.

3.4.2.1.1 UNIFIED ADDRESS
<domicilio_unificado> Optional Alphanumeric 1-400 N/A VXSD: The field is mandatory if the tag <unificado> is found within the tag <domicilio_entidad_financiera_extranjera>. VXSD: Only accepts the following characters: letters A-Z (uppercase and without accents or umlauts), letter Ñ, numbers 0-9, space ( ), hash (#), hyphen (-), period (.), comma (,), apostrophe ('), colon (:), slash (/). Note. Parentheses are not included in allowed characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </domicilio_unificado> must be found.

3.4.2.1.2 STATE, PROVINCE, DEPARTMENT, OR SIMILAR POLITICAL DEMARCATION
<estado_provincia> Mandatory Alphanumeric 1-70 N/A VXSD: The field is mandatory if the tag <unificado> is found within the tag <domicilio_entidad_financiera_extranjera>. VXSD: The minimum length is 1 character and maximum 70. VXSD: Only accepts the following characters: letters A-Z (uppercase and without accents or umlauts), letter Ñ, numbers 0-9, space ( ), comma (,), period (.), colon (:), slash (/). Note. Parentheses are not included in allowed characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </estado_provincia> must be found.

3.4.2.1.3 CITY OR POPULATION
<ciudad_poblacion> Optional Alphanumeric 1-70 N/A VXSD: The field is mandatory if the tag <unificado> is found within the tag <domicilio_entidad_financiera_extranjera>. VXSD: Only accepts the following characters: letters A-Z (uppercase and without accents or umlauts), letter Ñ, numbers 0-9, space ( ), hash (#), hyphen (-), period (.), comma (,), apostrophe ('), colon (:), slash (/). Note. Parentheses are not included in allowed characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </ciudad_poblacion> must be found.

3.4.2.1.4 NEIGHBORHOOD <colonia> Optional Alphanumeric 1-40 N/A
VXSD: The field is mandatory if the tag <unificado> is found within the tag <domicilio_entidad_financiera_extranjera>.
VXSD: Only accepts the following characters: letters A-Z (uppercase and without accents or umlauts), letter Ñ, numbers 0-9, space ( ), hash (#), hyphen (-), period (.), comma (,), apostrophe ('), colon (:), slash (/). Note. Parentheses are not included in allowed characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </colonia> must be found. VC7R1: If not available, it will be filled with the value XXXX.

3.4.2.1.5 ZIP CODE <codigo_postal> Optional Alphanumeric 4-12 N/A
VXSD: The minimum length is 4 characters and maximum 12 characters.
VXSD: Only accepts the following characters: letters A-Z (uppercase and without accents or umlauts), letter Ñ, numbers 0-9, space ( ), comma (,), period (.), colon (:), slash (/). Note. Parentheses are not included in allowed characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </codigo_postal> must be found.

3.4.2.2 SEPARATE ADDRESS <separado> Optional XML Tag N/A N/A
VXSD: If the tag <unificado> does not exist, then the tag <separado> is mandatory. Both cannot exist.
VXSD: The closing tag </separado> must be found.

3.4.2.2.1 STREET, AVENUE, OR PATH
<calle> Optional Alphanumeric 1-70 N/A
VXSD: The field is mandatory if the tag <separado> is found within the tag <domicilio_entidad_financiera_extranjera>.
VXSD: The minimum length is 1 character and maximum 70.

Monday, March 4, 2024 OFFICIAL GAZETTE
70.
VXSD: Only accepts the following characters: letters A-Z (uppercase, without accents or umlauts), letter Ñ, numbers 0-9, space ( ), comma (,), period (.), colon (:), slash (/). Note. Parentheses are not included in the permitted characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </calle> must be found.
3.4.2.2.2 EXTERIOR NUMBER <numero_exterior> Optional Alphanumeric 1-40 N/A
VXSD: The field is mandatory if the <separado> tag is found within the <domicilio_entidad_financiera_extranjera> tag. VXSD: The minimum length is 1 character and maximum 40. VXSD: Only accepts the following characters: letters A-Z (uppercase, without accents or umlauts), letter Ñ, numbers 0-9, space ( ), comma (,), period (.), colon (:), slash (/). Note. Parentheses are not included in the permitted characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </numero_exterior> must be found.
3.4.2.2.3 INTERIOR NUMBER <numero_interior> Optional Alphanumeric 1-40 N/A
VXSD: The minimum length is 1 character and maximum 40.
VXSD: Only accepts the following characters: letters A-Z (uppercase, without accents or umlauts), letter Ñ, numbers 0-9, space ( ), comma (,), period (.), colon (:), slash (/). Note. Parentheses are not included in the permitted characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </numero_interior> must be found.
3.4.2.2.4 STATE, PROVINCE, DEPARTMENT OR SIMILAR POLITICAL DEMARCATION <estado_provincia> Mandatory Alphanumeric 1-70 N/A
VXSD: The field is mandatory if the <separado> tag is found within the <domicilio_entidad_financiera_extranjera> tag. VXSD: The minimum length is 1 character and maximum 70. VXSD: Only accepts the following characters: letters A-Z (uppercase, without accents or umlauts), letter Ñ, numbers 0-9, space ( ), comma (,), period (.), colon (:), slash (/). Note. Parentheses are not included in the permitted characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </estado_provincia> must be found.
3.4.2.2.5 CITY OR POPULATION <ciudad_poblacion> Optional Alphanumeric 1-70 N/A
VXSD: The field is mandatory if the <separado> tag is found within the <domicilio_entidad_financiera_extranjera> tag.
OFFICIAL GAZETTE Monday, March 4, 2024
VXSD: Only accepts the following characters: letters A-Z (uppercase, without accents or umlauts), letter Ñ, numbers 0-9, space ( ), hash (#), hyphen (-), period (.), comma (,), apostrophe ('), colon (:), slash (/). Note. Parentheses are not included in the permitted characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </ciudad_poblacion> must be found.
3.4.2.2.6 COLONY <colonia> Optional Alphanumeric 1 - 40 N/A
VXSD: The field is mandatory if the <separado> tag is found within the <domicilio_entidad_financiera_extranjera> tag.
VXSD: Only accepts the following characters: letters A-Z (uppercase, without accents or umlauts), letter Ñ, numbers 0-9, space ( ), hash (#), hyphen (-), period (.), comma (,), apostrophe ('), colon (:), slash (/). Note. Parentheses are not included in the permitted characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </colonia> must be found. VC7R1: In case of not having it, it will be filled with the value XXXX.
3.4.2.2.7 POSTAL CODE <codigo_postal> Optional Alphanumeric 4-12 N/A
VXSD: The minimum length is 4 characters and maximum 12 characters.
VXSD: Only accepts the following characters: letters A-Z (uppercase, without accents or umlauts), letter Ñ, numbers 0-9, space ( ), comma (,), period (.), colon (:), slash (/). Note. Parentheses are not included in the permitted characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </codigo_postal> must be found. 4 OBSERVATIONS <observaciones> Optional Alphanumeric 1-500 N/A VXSD: The minimum length is 1 character and maximum 500. VXSD: Only accepts the following characters: letters A-Z (uppercase, without accents or umlauts), letter Ñ, space ( ), apostrophe ('), period (.) Note. Parentheses are not included in the permitted characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </observaciones> must be found.