Agreement Establishing the Electronic Means and Official Format for Informing the National Banking and Securities Commission of Information Exchange Agreements Between Entities of the Same Financial Group

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DOF: 13/11/2020

AGREEMENT by which the electronic means are established and the official format is issued through which the National Banking and Securities Commission must be informed of the signing of information exchange agreements between entities of the same financial group.

A seal with the National Coat of Arms appears at the margin, which reads: United Mexican States.- TREASURY.- Ministry of

Treasury and Public Credit.- National Banking and Securities Commission.

The National Banking and Securities Commission, based on what is provided in articles 4, fraction XXXVI and 16, fraction I of the Law of the National Banking and Securities Commission; 62nd Sexies of the General Provisions referred to in article 115 of the Credit Institutions Law; 61st-1 of the General Provisions referred to in article 212 of the Securities Market Law;

51st-1 of the General Provisions referred to in article 95 of the General Law of Organizations and Auxiliary Credit Activities applicable to Exchange Houses; 52nd-1 of the General Provisions referred to in articles 115 of the Credit Institutions Law in relation to 87-D of the General Law of Organizations and Auxiliary Credit Activities and 95-Bis of this last legislation, applicable to multiple-object financial societies; 55-1st of the General Provisions referred to in article 91 of the Investment Funds Law; 51st-1 of the General Provisions referred to in article 95 of the General Law of Organizations and Auxiliary Credit Activities applicable to General Deposit Warehouses; 64th Bis of the General Provisions referred to in article 124 of the Popular Savings and Credit Law, and article 80 of the General Provisions referred to in article 58 of the Law to Regulate Financial Technology Institutions, and

CONSIDERING

That in attention to article 78 of the General Law of Regulatory Improvement and with the purpose of reducing the compliance cost of this agreement, the National Banking and Securities Commission published on August 21, 2020 in the Official Gazette of the Federation the "Resolution that modifies the general provisions applicable to credit institutions", through which it exempted credit institutions from the obligation to present the authorization request when they intend to contract with development organisms for banking commission services;

That through various resolutions published in the Official Gazette of the Federation, on February 24, 2017 the "General Provisions referred to in article 115 of the Credit Institutions Law" were modified; on March 9, 2017 the "General Provisions referred to in article 212 of the Securities Market Law", the "General Provisions referred to in article 95 of the General Law of Organizations and Auxiliary Credit Activities applicable to Exchange Houses" and the "General Provisions referred to in articles 115 of the Credit Institutions Law in relation to 87-D of the General Law of Organizations and Auxiliary Credit Activities and 95-Bis of this last legislation, applicable to multiple-object financial societies"; on March 23, 2017 the "General Provisions referred to in article 91 of the Investment Funds Law" and the "General Provisions referred to in article 95 of the General Law of Organizations and Auxiliary Credit Activities applicable to General Deposit Warehouses"; and on April 4, 2017 the "General Provisions referred to in article 124 of the Popular Savings and Credit Law", and on September 10, 2018 the "General Provisions referred to in article 58 of the Law to Regulate Financial Technology Institutions" were issued, which, among other things, provide that entities that form part of financial groups under the Law to Regulate Financial Groupings may exchange information with other financial entities that form part of the same group in certain cases and subject to the conditions established in said provisions, with the aim of strengthening measures to prevent and detect acts, omissions or operations that could update the scenarios provided for in articles 139 Quater and 400 Bis of the Federal Penal Code, provided that for such effect agreements are celebrated between them, and that the National Banking and Securities Commission is informed about the signing of said agreements, and

That in this sense, it is necessary to establish the electronic means and the official format to inform the National Banking and Securities Commission regarding the signing of agreements celebrated by entities belonging to the same financial group for the exchange of information regarding those operations they carry out with their clients or users, and whose purpose is to strengthen measures to prevent and detect acts, omissions or operations that could update the scenarios provided for in articles 139 Quater and 400 Bis of the Federal Penal Code, has resolved to issue the following:

AGREEMENT BY WHICH THE ELECTRONIC MEANS AND THE OFFICIAL FORMAT ARE ESTABLISHED THROUGH WHICH THE NATIONAL BANKING AND SECURITIES COMMISSION MUST BE INFORMED OF THE SIGNING OF INFORMATION EXCHANGE AGREEMENTS BETWEEN ENTITIES OF THE SAME FINANCIAL GROUP

Article 1.- The purpose of this agreement is to establish the electronic means and issue the official format through which Entities must inform the Commission about agreements celebrated between Entities of the same Financial Group, for the exchange of information regarding Operations they carry out with their Clients or Users, with other Entities that form part of the same Financial Group that are authorized to do so in accordance with the applicable Provisions, and that have as their purpose strengthening measures to prevent and detect acts, omissions or operations that could update the scenarios provided for in articles 139 Quater or 400 Bis of the Federal Penal Code.

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; to the "General Provisions referred to in article 212 of the Securities Market Law", published in the Official Gazette of the Federation on September 9, 2010; to the "General Provisions referred to in article 95 of the General Law of Organizations and Auxiliary Credit Activities applicable to Exchange Houses", published in the Official Gazette of the Federation on September 25, 2009; to the "General Provisions referred to in articles 115 of the Credit Institutions Law in relation to 87-D of the General Law of Organizations and Auxiliary Credit Activities and 95-Bis of this last legislation, applicable to multiple-object financial societies", published in the Official Gazette of the Federation on March 17, 2011; to the "General Provisions referred to in article 91 of the Investment Funds Law", published in the Official Gazette of the Federation on December 31, 2014; to the "General Provisions referred to in article 95 of the General Law of Organizations and Auxiliary Credit Activities applicable to General Deposit Warehouses" published in the Official Gazette of the Federation on December 31, 2014; to the "General Provisions referred to in article 124 of the Popular Savings and Credit Law", published in the Official Gazette of the Federation on December 31, 2014, and to the "General Provisions referred to in article 58 of the Law to Regulate Financial Technology Institutions", published in the Official Gazette of the Federation on September 10, 2018 and, where applicable, their respective modifications.

II. Entities, referring to general deposit warehouses, brokerage houses, exchange houses, multiple banking institutions, investment fund share distributing societies, regulated multiple-object financial societies, popular financial societies, investment fund operating societies and financial technology institutions.

III. Financial Group, referring to that grouping integrated by the Holding Company and by financial entities, authorized by the Secretariat to function as such, in terms of articles 11 and 12 of the Law to Regulate Financial Groupings.

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

Article 3.- Prior to the exchange of information referred to in article 1 of this agreement, the Entities will inform the Commission electronically through the SITI PLD/FT, in an "XML" file, regarding the information exchange agreement celebrated between the Entities that form part of the same Financial Group, in which they stipulate the following:

a) The confidential treatment that will be given to the exchanged information, and b) The positions of the officials authorized to carry out said exchange.

The SITI PLD/FT will generate an electronic receipt in which the name of the sending Entity, folio number, date and time of receipt, as well as the total number of records sent will be recorded.

The Entities will be responsible for the sending of the information in question, and for it meeting the quality and characteristics required.

The report referred to in this article must be sent only once and will be received assuming it meets all required characteristics, by virtue of which it cannot be modified.

The Entities, if as a consequence of the modifications they make to their agreements the fields contained in Annex A are also modified, will inform the Commission indicating in the Observations field of said Annex A that it is a modification.

Article 4.- The Commission will make available to the Entities, through the SITI PLD/FT and, where applicable, on its Internet portal, the catalogs provided by the Secretariat and by the Commission itself, in order for the Entities to capture the information they must include in the report referred to in this agreement and which is contained in Annex A of this instrument.

Article 5.- The handling of inquiries and the interpretation of this agreement, as well as the resolution of cases not foreseen in this, will correspond to the Commission.

TRANSITORY

SOLE. This agreement will enter into force on January 2, 2021.

Respectfully,

Mexico City, November 5, 2020. - The President of the National Banking and Securities Commission, Juan Pablo Graf Noriega.- Signature.

ANNEX A

NUMBERING

FIELD NAME

XML LABEL

MANDATORINESS

DATA TYPE

LENGTH

FORMAT / MASK

BUSINESS RULES

A REPORT DATA <informe> Mandatory XML Label N/A N/A VXSD: The label is mandatory. VXSD: The closing tag </informe> must be found.

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

1.1 DATE OF SIGNING OF THE CELEBRATED 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 which represents the date format, where:

• AAAA corresponds to the year in 4 digits.
• MM month in two digits.
• DD day in two digits. VXSD: The closing tag </fecha_firma> must be found. VC21R1: The date must be less than the file reception date.

1.2 TYPE OF VALIDITY OF THE CELEBRATED AGREEMENT <tipo_vigencia> Mandatory Alphanumeric 2 Pattern: 99 VXSD: The field is mandatory. VXSD: The length is 2 characters. VXSD: The closing tag </tipo_vigencia> must be found. VC22R1: The key must correspond to the CNBV-provided catalog as follows: 01: Indefinite duration. 02: Defined duration.

1.3 OBJECTIVE OF THE CELEBRATED 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 diaeresis), letter Ñ, space ( ), apostrophe ('), period (.). Note. Parentheses are not included in permitted characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </objeto_convenio> must be found.

1.4 START DATE OF VALIDITY OF THE CELEBRATED AGREEMENT <inicio_vigencia> 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 which represents the date format, where:

• AAAA corresponds to the year in 4 digits.
• MM month in two digits.
• DD day in two digits VXSD: The closing tag </inicio_vigencia> must be found. VC24R1: The date must be less than the file reception date.

1.5 END DATE OF VALIDITY OF THE CELEBRATED AGREEMENT <fin_vigencia> 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 which represents the date format, where:

• AAAA corresponds to the year in 4 digits.
• MM month in two digits.
• DD day in two digits VXSD: The closing tag </fin_vigencia> must be found. VC25R1: The date must be 99999999 in case the contract is of indefinite duration.

2 DATA OF THE FINANCIAL GROUP TO WHICH IT BELONGS <datos_grupo_financiero> Mandatory XML Label N/A N/A VXSD: The label is mandatory. VXSD: The closing tag </datos_grupo_financiero> must be found.

2.1 KEY OF THE FINANCIAL GROUP TO WHICH IT BELONGS <clave_grupo_financiero> Mandatory Alphanumeric 6 Format:"sector-entity" 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 which represents the sector-entity format. Where 9 corresponds to a character from 0-9. VXSD: The closing tag </clave_entidad_comparte> must be found. VC52R1: The field key must be according to the CASFIM catalog for Holding and Sub-holding Companies.

2.2 NAME OF THE FINANCIAL GROUP TO WHICH IT BELONGS <nombre_grupo_financiero> 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 diaeresis), letter Ñ, space ( ), apostrophe ('), period (.). Note. Parentheses are not included in permitted characters. VXSD: Blank character strings are not accepted. VXSD : The closing tag </nombre_grupo_financiero> must be found.

3 DATA OF THE ENTITY THAT SHARES THE INFORMATION <datos_entidad_comparte> Mandatory XML Label N/A N/A VXSD: The label is mandatory. VXSD: The closing tag </datos_entidad_comparte> must be found.

3.1 NAME OF THE INTEGRATING ENTITY THAT SHARES THE INFORMATION <nombre_entidad_comparte> 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 diaeresis), letter Ñ, space ( ), apostrophe ('), period (.). Note. Parentheses are not included in permitted characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </nombre_entidad_comparte> must be found.

3.2 KEY OF THE ENTITY THAT SHARES THE INFORMATION <clave_entidad_comparte> Mandatory Alphanumeric 6 Format:"sector-entity" 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 which represents the sector-entity format. Where 9 corresponds to a character from 0-9. VXSD: The closing tag </clave_entidad_comparte> must be found. VC52R1: The field key must be according to the CASFIM catalog for financial entities.

3.3 POSITION OR POSITIONS OF THE AUTHORIZED OFFICIAL(S) OF THE ENTITY TO CARRY OUT THE INFORMATION EXCHANGE <cargo_funcionario_autorizado_entidad_comparte> Mandatory XML Label N/A N/A VXSD: The label is mandatory. VXSD: A tag </cargo_funcionario_autorizado_entidad_comparte> must be found for each person authorized to carry out the information exchange. VXSD: The closing tag </cargo_funcionario_autorizado_entidad_comparte> must be found.

3.3.1 NAME OF THE POSITION OF THE AUTHORIZED OFFICIAL(S) OF THE ENTITY TO CARRY OUT THE INFORMATION EXCHANGE <nombre_cargo_funcionario_autorizado_entidad_comparte> 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 diaeresis), letter Ñ, space ( ), apostrophe ('), period (.). Note. Parentheses are not included in permitted characters. VXSD: Blank character strings are not accepted. VXSD : The closing tag </nombre_cargo_funcionario_autorizado_entidad_comparte> must be found.

4 DATA OF THE GROUP ENTITY RECEIVING THE INFORMATION <datos_entidad_recibe> Mandatory XML Label N/A N/A VXSD: The label is mandatory. VXSD: The closing tag </datos_entidad_recibe> must be found.

4.1 NAME OF THE GROUP ENTITY RECEIVING THE INFORMATION <nombre_entidad_recibe> 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 diaeresis), letter Ñ, space ( ), apostrophe ('), period (.). Note. Parentheses are not included in permitted characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </nombre_entidad_recibe > must be found.

4.2 KEY OF THE ENTITY RECEIVING THE INFORMATION <clave_entidad_recibe> Mandatory Alphanumeric 6 Format:"sector-entity" 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 which represents the sector-entity format. Where 9 corresponds to a character from 0-9. VXSD: The closing tag </clave_entidad_recibe> must be found. VC52R1: The field key must be according to the CASFIM catalog for financial entities.

4.3 POSITION OR POSITIONS OF THE AUTHORIZED OFFICIAL(S) OF THE ENTITY RECEIVING THE INFORMATION <persona_autorizada_entidad_recibe> Mandatory XML Label N/A N/A VXSD: The label is mandatory. VXSD: A tag <persona_autorizada_entidad_recibe> must be found for each person authorized to carry out the information exchange. VXSD: The closing tag </persona_autorizada_entidad_recibe> must be found.

4.3.1 NAME OF THE POSITION OF THE AUTHORIZED OFFICIAL(S) OF THE ENTITY RECEIVING THE INFORMATION <nombre_cargo_funcionario_autorizado_entidad_recibe> 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 diaeresis), letter Ñ, space ( ), apostrophe ('), period (.). Note. Parentheses are not included in permitted characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </nombre_cargo_funcionario_autorizado_entidad_recibe> must be found.

5 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 and without accents or diaeresis), letter Ñ, space ( ), apostrophe ('), period (.). Note. Parentheses are not included in permitted characters. VXSD: Blank character strings are not accepted. VXSD: The closing tag </observaciones> must be found.

(R.- 500436)

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