Agreement establishing the official format for the report on training courses regarding the prevention and detection of operations with illicit funds and terrorism financing

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DOF: 07/01/2016

AGREEMENT establishing the official format for the report on training courses regarding the prevention and detection of operations with illicit funds and terrorism financing

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

The National Banking and Securities Commission, based on the provisions of articles 4, fractions XXXVI and XXXVIII, and 16, fraction I of the National Banking and Securities Commission Law, and on the 49th of the General Provisions referred to in article 115 of the Credit Institutions Law; 50th of the General Provisions referred to in article 212 of the Securities Market Law; 25th of the General Provisions referred to in article 226 Bis of the Securities Market Law, applicable to investment advisors; 40th of the General Provisions referred to in article 95 of the General Law of Organizations and Auxiliary Credit Activities, applicable to exchange houses; 40th of the General Provisions referred to in article 95 of the General Law of Organizations and Auxiliary Credit Activities applicable to General Deposit Warehouses; 53rd of the General Provisions referred to in articles 71 and 72 of the Law to Regulate the Activities of Savings and Loan Cooperative Societies; 52nd of the General Provisions referred to in article 124 of the Popular Savings and Credit Law; 40th of the General Provisions referred to in article 129 of the Credit Unions Law; 41st 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 latter legislation, applicable to multiple-object financial societies; 36th of the General Provisions referred to in article 95 Bis of the General Law of Organizations and Auxiliary Credit Activities, applicable to exchange centers referred to in article 81-A of the same legislation; 38th of the General Provisions referred to in article 95 Bis of the General Law of Organizations and Auxiliary Credit Activities, applicable to money transmitters referred to in article 81-A Bis of the same legislation; 44th of the General Provisions referred to in article 91 of the Investment Funds Law and 38th of the General Provisions referred to in article 60 of the Organic Law of the National Financial Institution for Agricultural, Rural, Forestry and Fisheries Development, and

CONSIDERING

That in accordance with the provisions of the general provisions in matters of prevention and detection of acts, omissions, or operations that could update the circumstances provided for in articles 139 Quater or 400 Bis of the Federal Penal Code, applicable to general deposit warehouses, investment advisors, brokerage houses, exchange houses, exchange centers, credit institutions, savings and loan cooperative societies, regulated and unregulated multiple-object financial societies, popular financial societies, community financial societies, rural financial integration organisms, investment fund share distributing societies, investment fund operating societies, money transmitters, credit unions, and the National Financial Institution for Agricultural, Rural, Forestry and Fisheries Development, said entities and societies must present to the National Banking and Securities Commission a report containing their annual training course program to be delivered in the aforementioned matter, as well as those delivered in the immediate preceding year, and the other information provided for in the format issued by the Commission for this purpose, it is therefore necessary to establish the electronic means and the official format for them to comply with the foregoing, has resolved to issue the following:

AGREEMENT ESTABLISHING THE OFFICIAL FORMAT FOR THE REPORT ON TRAINING COURSES REGARDING THE PREVENTION AND DETECTION OF OPERATIONS WITH ILLEGAL FUNDS AND TERRORISM FINANCING

Article 1.- This agreement aims to establish the electronic means and the official format through which the Obligated Subjects must present to the Commission the report containing their annual training course program, as well as the training courses delivered in the immediate preceding year.

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, the General Provisions referred to in article 115 of the Credit Institutions Law; the General Provisions referred to in article 212 of the Securities Market Law; the General Provisions referred to in article 226 Bis of the Securities Market Law, applicable to investment advisors; the General Provisions referred to in article 95 of the General Law of Organizations and Auxiliary Credit Activities, applicable to exchange houses; the General Provisions referred to in article 95 of the General Law of Organizations and Auxiliary Credit Activities applicable to General Deposit Warehouses; the General Provisions referred to in articles 71 and 72 of the Law to Regulate the Activities of Savings and Loan Cooperative Societies; the General Provisions referred to in article 124 of the Popular Savings and Credit Law; the General Provisions referred to in article 129 of the Credit Unions Law; 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 latter legislation, applicable to multiple-object financial societies; the General Provisions referred to in article 95 Bis of the General Law of Organizations and Auxiliary Credit Activities, applicable to exchange centers referred to in article 81-A of the same legislation; the General Provisions referred to in article 95 Bis of the General Law of Organizations and Auxiliary Credit Activities, applicable to money transmitters referred to in article 81-A Bis of the same legislation; the General Provisions referred to in article 91 of the Investment Funds Law, and the General Provisions referred to in article 60 of the Organic Law of the National Financial Institution for Agricultural, Rural, Forestry and Fisheries Development, published in the Official Gazette of the Federation and, where applicable, their respective modifications;

II.

SITI, the Interinstitutional Information Transfer System, which is part of the Commission's Registry Office, and

III.

Obligated Subjects, general deposit warehouses, investment advisors, brokerage houses, exchange houses, exchange centers, credit institutions, savings and loan cooperative societies, regulated and unregulated multiple-object financial societies, popular financial societies, community financial societies, rural financial integration organisms, investment fund share distributing societies, investment fund operating societies, money transmitters, credit unions, and the National Financial Institution for Agricultural, Rural, Forestry and Fisheries Development.

Article 3.-

Obligated Subjects must transmit to the Commission electronically via SITI, in an "XML" file with the file extension ".ICC", within the first fifteen business days of January of each year, the report referred to in Article 1 of this agreement, in the format contained in the Annex of this instrument.

To this effect, SITI itself will generate an electronic receipt of acknowledgment in which the name of the Obligated Subject, folio number, date and time of receipt, as well as the total number of records sent will be recorded.

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

Article 4.-

The Commission will make available to the Obligated Subjects through SITI, and where applicable, on its internet page, the necessary catalogs so that they can capture the information they must include in the report referred to in this agreement and which is contained in the Annex of this instrument.

Article 5.-

The attention of inquiries and the interpretation of this agreement will correspond to the Vice Presidency of Preventive Process Supervision, through the General Directorates of Prevention of Operations with Illicit Funds A and B.

TRANSITIONAL PROVISIONS

FIRST.-

This agreement will enter into force the day following its publication in the Official Gazette of the Federation.

SECOND.-

General deposit warehouses, investment advisors, brokerage houses, exchange houses, exchange centers, credit institutions, savings and loan cooperative societies, regulated and unregulated multiple-object financial societies, popular financial societies, community financial societies, rural financial integration organisms, investment fund share distributing societies, investment fund operating societies, money transmitters, credit unions, and the National Financial Institution for Agricultural, Rural, Forestry and Fisheries Development must send for the first time the report referred to in this agreement containing the training program for 2015 and the courses delivered during 2014, within the first fifteen business days of the month following that in which this instrument is published in the Official Gazette of the Federation.

Respectfully,

Mexico, D.F., December 21, 2015. - The President of the National Banking and Securities Commission, Jaime González Aguadé. - Signature.

ANNEX

SEQUENCE

FIELD NAME

XML TAG

MANDATORINESS

DATA TYPE

LENGTH

FORMAT /

MASK

BUSINESS RULES

A.

REPORT NAME

<informe>

Mandatory

XML Tag

N/A

N/A

VXSD:

The tag is mandatory.

VXSD: The closing tag </informe> must be found.

1

REGULATOR BODY KEY

<clave_organo_regulador>

Mandatory

Alphanumeric

6

Format: "sector-

regulator body"

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-regulator_body format. Where 9 corresponds to a character from 0-9.

VXSD: The closing tag </clave_organo_regulador> must be found.

VC1R1: The field key must be according to the CASFIM catalog for authorities and regulatory bodies.

2

OBLIGATED SUBJECT KEY

<clave_sujeto_obligado>

Mandatory

Alphanumeric

6-9

Format: "sector-

obligatedsubject"

Pattern: 99-999999

VXSD: The field is mandatory.

VXSD: The minimum length is 6 characters and the maximum is 9.

VXSD: The field is alphanumeric and follows the pattern 99-999999 representing the sector-obligatedsubject format. Where 9 corresponds to a character from 0-9.

VXSD: The closing tag </clave_sujeto_obligado> must be found.

VC2R1: The field key must be according to the CASFIM catalog for financial entities.

VC2R2: In the case of exchange centers or money transmitters, the key assigned by the CNBV must be used, according to the following note, that is, indicating the sector key composed of 2 (two) digits, followed by a hyphen at the beginning of the key composed of 5 (five) digits.

For example if the obligated subject key is 20001 and the sector key is 89, it will be captured as follows: 89-20001.

NOTE: To form the key, the sector key composed of 2 (two) digits followed by a hyphen and the institution key composed of 5 or 6 digits is indicated.

3

PERIOD REPORTED

<periodo_informado>

Mandatory

Alphanumeric

4

Format: "year"

Pattern: AAAA

VXSD: The field is mandatory.

VXSD: The length is 4 characters.

VXSD: The field is alphanumeric and follows the pattern AAAA representing the year format, where:

• AAAA must correspond to the reported year.

VXSD: The closing tag </periodo_informado> must be found.

4

TRAINING DATA

<datos_capacitacion>

Mandatory

XML Tag

N/A

N/A

VXSD:

The tag is mandatory.

VXSD: The closing tag </datos_capacitacion> must be found.

4.1

ANNUAL TRAINING PROGRAM DATA

<programa_anual>

Mandatory

XML Tag

N/A

N/A

VXSD:

The tag is mandatory.

VXSD: The closing tag </programa_anual> must be found.

4.1.1

SCHEDULED COURSES

<cursos_programados>

Mandatory

XML Tag

N/A

N/A

VXSD:

The tag is mandatory.

VXSD: The closing tag </cursos_programados> must be found.

VC31R1: There must be a <cursos_programados> tag for each course reported within the file.

4.1.2

TYPE OF

TRAINING

<tipo_capacitacion>

Mandatory

Numeric

2

Pattern: 99

VXSD:

The tag is mandatory.

VXSD: The length is 2 characters.

VXSD: The field is alphanumeric and follows the pattern 99, where 9 corresponds to a character from 0-9.

VXSD: A <tipo_capacitacion> tag must be found for each scheduled training.

VXSD: The closing tag </tipo_capacitacion> must be found.

VC1R1: The field key must be according to the CAPACITACION catalog provided by the CNBV.

4.1.3

NAME OF THE

TRAINING

<nombre_capacitacion>

Mandatory

Alphanumeric

1-300

N/A

VXSD:

The tag is mandatory.

VXSD: The minimum length is 1 character and maximum is 300.

VXSD: The field

is alphanumeric.

VXSD: It only accepts the following characters: letters A-Z (uppercase and without accents or diaeresis), letter Ñ, numbers 0-9, space ( ), hash (#), hyphen (-), period (.), &, comma (,), underscore (_), @, apostrophe (').

Note. Parentheses are not included in permitted characters.

VXSD: Blank character strings are not accepted.

VXSD: A <nombre_capacitacion> tag must be found for each scheduled training.

VXSD: The closing tag </nombre_capacitacion> must be found.

4.1.4

START OF THE PERIOD

IN WHICH THE

TRAINING WILL BE

DELIVERED

<fecha_inicio_imparticion>

Mandatory

Alphanumeric

7

Format: "year-month"

Pattern: AAAA-MM

VXSD: The field is mandatory.

VXSD: The length is 7 characters.

VXSD: The field is alphanumeric and follows the pattern AAAA-MM representing the year-month format, where:

• AAAA must correspond to the year of the reported start month.

• MM must correspond to the reported start month.

VXSD: The field is alphanumeric and follows the pattern AAAA-MM representing the year-month format, where:

• AAAA must correspond to the year of the reported closing month.

• MM must correspond to the reported closing month.

VXSD: The closing tag </fecha_inicio_imparticion> must be found.

VC6R1: The reported month must be greater than or equal to the current month.

4.1.5

END OF THE PERIOD IN

WHICH THE TRAINING

WILL BE DELIVERED

<fecha_fin_imparticion>

Mandatory

Alphanumeric

7

Format: "year-month"

Pattern: AAAA-MM

VXSD: The field is mandatory.

VXSD: The length is 7 characters.

VXSD: The field is alphanumeric and follows the pattern AAAA-MM representing the year-month format, where:

• AAAA must correspond to the year of the reported start month.

• MM must correspond to the reported start month.

VXSD: The field is alphanumeric and follows the pattern AAAA-MM representing the year-month format, where:

• AAAA must correspond to the year of the reported closing month.

• MM must correspond to the reported closing month.

VXSD: The closing tag </fecha_fin_imparticion> must be found.

VC6R1: The reported month must be greater than or equal to the current month.

4.1.6

AREAS OF THE

OBLIGATED SUBJECT THAT

WILL RECEIVE THE

TRAINING

<areas_capacitacion>

Optional

Alphanumeric

500

N/A

VXSD: The tag is optional.

VXSD: The maximum length is 500 characters.

VXSD: The field is alphanumeric.

VXSD: It only accepts the following characters: letters A-Z (uppercase and without accents or diaeresis), letter Ñ, numbers 0-9, space ( ), hash (#), hyphen (-), period (.), &, comma (,), underscore (_), @, apostrophe (').

Note. Parentheses are not included in permitted characters.

VXSD: Blank character strings are not accepted.

VXSD: There must be a tag for each area that will take the training.

VXSD: The closing tag </areas_capacitacion> must be found.

4.1.7

ESTIMATED TOTAL OF

PERSONS WHO

WILL RECEIVE THE

TRAINING

<total_personas>

Mandatory

Numeric

1-6

Pattern: 999999

VXSD: The tag is mandatory.

VXSD: The minimum length is 1 character and the maximum is 6.

VXSD: The field is numeric and follows the pattern 999999, where 9 corresponds to a character from 0-9.

VXSD: The closing tag </total_personas> must be found.

4.2

DATA OF THE

TRAINING OF THE

IMMEDIATE PRECEDING

YEAR

<capacitacion_ano_anterior

Mandatory

XML Tag

N/A

N/A

VXSD:

The tag is mandatory.

VXSD: The closing tag </capacitacion_ano_anterior> must be found.

4.2.1

COURSES

COMPLETED

<cursos_efectuados>

Mandatory

XML Tag

N/A

N/A

VXSD:

The tag is mandatory.

VXSD: The closing tag </cursos_efectuados> must be found.

4.2.1.1

TYPE OF

TRAINING

<tipo_capacitacion>

Mandatory

Numeric

2

Pattern: 99

VXSD:

The tag is mandatory.

VXSD: The field is alphanumeric and follows the pattern 99, where 9 corresponds to a character from 0-9.

VXSD: A <tipo_capacitacion> tag must be found for each completed training.

VXSD: The closing tag </tipo_capacitacion> must be found.

VC7R1: The

field key must be according to the CAPACITACION catalog provided by the

CNBV.

4.2.1.2

NAME OF THE

TRAINING

<nombre_capacitacion>

Mandatory

Alphanumeric

1-300

N/A

VXSD:

The tag is mandatory.

VXSD: The minimum length is 1 character and maximum is 300.

VXSD: The field is alphanumeric.

VXSD: It only accepts the following characters: letters A-Z (uppercase and without accents or diaeresis), letter Ñ, numbers 0-9, space ( ), hash (#), hyphen (-), period (.), &, comma (,), underscore (_), @, apostrophe (').

Note. Parentheses are not included in permitted characters.

VXSD: Blank character strings are not accepted.

VXSD: A <nombre_capacitacion> tag must be found for each completed training.

VXSD: The closing tag </nombre_capacitacion> must be found.

4.2.1.3

START OF THE PERIOD

IN WHICH THE TRAINING

WAS DELIVERED

<fecha_inicio_imparticion>

Mandatory

Alphanumeric

7

Format: "year-month"

Pattern: AAAA-MM

VXSD: The field is mandatory.

VXSD: The length is 7 characters.

VXSD: The field is alphanumeric and follows the pattern AAAA-MM representing the year-month format, where:

• AAAA must correspond to the year of the reported start month.

• MM must correspond to the reported start month.

VXSD: The field is alphanumeric and follows the pattern AAAA-MM representing the year-month format, where:

• AAAA must correspond to the year of the reported closing month.

• MM must correspond to the reported closing month.

VXSD: The closing tag </fecha_inicio_imparticion> must be found.

4.2.1.4

END OF THE PERIOD IN

WHICH THE TRAINING

WAS DELIVERED

<fecha_fin_imparticion>

Mandatory

Alphanumeric

7 14

Format: "year-month"

Pattern: AAAA-MM

VXSD: The field is mandatory.

VXSD: The length is 7 characters.

VXSD: The field is alphanumeric and follows the pattern AAAA-MM representing the year-month format, where:

• AAAA must correspond to the year of the reported start month.

• MM must correspond to the reported start month.

VXSD: The field is alphanumeric and follows the pattern AAAA-MM representing the year-month format, where:

• AAAA must correspond to the year of the reported closing month.

• MM must correspond to the reported closing month.

VXSD: The closing tag </fecha_fin_imparticion> must be found.

4.2.1.5

AREAS OF THE

OBLIGATED SUBJECT THAT

RECEIVED THE

TRAINING

<areas_capacitadas>

Optional

Alphanumeric

1-300

N/A

VXSD: The tag is optional.

VXSD: The maximum length is 300 characters.

VXSD: The field is alphanumeric.

VXSD: It only accepts the following characters: letters A-Z (uppercase and without accents or diaeresis), letter Ñ, numbers 0-9, space ( ), hash (#), hyphen (-), period (.), &, comma (,), underscore (_), @, apostrophe (').

Note. Parentheses are not included in permitted characters.

VXSD: Blank character strings are not accepted.

VXSD: There must be a tag for each area that took the training.

VXSD: The closing tag </areas_capacitadas> must be found.

4.2.1.6

TOTAL NUMBER OF

PERSONS WHO RECEIVED THE

TRAINING

<total_personas_capacitadas

Mandatory

Numeric

6

Pattern: 999999

VXSD: The tag is mandatory.

VXSD: The field is numeric and follows the pattern 999999, where 9 corresponds to a character from 0-9.

VXSD: The closing tag </total_personas_capacitadas> must be found.

4.2.1.7

DOCUMENT ISSUED

ON OCCASION OF THE

TRAINING

<documento_emitido>

Optional

Alphanumeric

1-300

N/A

VXSD: The tag is optional.

VXSD: The minimum length is 1 character and maximum is 300.

VXSD: The field is alphanumeric.

VXSD: It only accepts the following characters: letters A-Z (uppercase and without accents or diaeresis), letter Ñ, numbers 0-9, space ( ), hash (#), hyphen (-), period (.), &, comma (,), underscore (_), @, apostrophe (').

Note. Parentheses are not included in permitted characters.

VXSD: Blank character strings are not accepted.

VXSD: The closing tag </documento_emitido> must be found.

---

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