Agreement Establishing the Official Format for the Report on Training Courses Regarding Prevention and Detection of Operations with Illicit Funds and Terrorism Financing

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

Published in the Official Gazette of the Federation on January 7, 2016

The National Banking and Securities Commission, pursuant to the provisions of Articles 4, fractions XXXVI and XXXVIII, and 16, fraction I of the National Banking and Securities Commission Law, and 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 on the prevention and detection of acts, omissions, or operations that could constitute 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 bodies, 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 in the aforementioned matter, as well as those delivered in the year immediately preceding the one in question, and the other information provided for in the format issued by the Commission for such effect; therefore, it is necessary to establish the electronic means and the official format for compliance with the foregoing, it has resolved to issue the following:

AGREEMENT ESTABLISHING THE OFFICIAL FORMAT FOR THE REPORT ON TRAINING COURSES REGARDING 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 Obligated Entities must present to the Commission the report containing their annual training course program, as well as the training courses delivered in the immediately 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, as 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, as the Interinstitutional Information Transfer System, which forms part of the Commission's Clerk's Office, and

III. Obligated Entities, as 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 bodies, 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 Entities must transmit to the Commission electronically through 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 Entity, folio number, date and time of receipt, as well as the total number of records sent, will be stated.

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

Article 4.- The Commission will make available to Obligated Entities through SITI, and where applicable, on its website, the necessary catalogs so that they can capture the information they must include in the report referred to in this agreement, which is contained in the Annex of this instrument.

Article 5.- The handling of inquiries and the interpretation of this agreement shall correspond to the Vice Presidency of Preventive Process Supervision, through the General Directorates for the Prevention of Operations with Illegal Funds A and B.

TRANSITIONAL PROVISIONS

FIRST.- This agreement shall 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 bodies, 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, which contains 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.