Amending Circular 14/19 of the Single Insurance and Surety Circular

DOF: 12/11/2019

Amending Circular 14/19 of the Single Insurance and Surety Circular

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

AMENDING CIRCULAR 14/19 OF THE SINGLE INSURANCE AND SURETY CIRCULAR

(Provisions 9.4.3 and 39.1.9, Chapter 34.2 and Annexes 34.2.1, 34.2.2-a, 34.2.2-b, 39.1.5-a and 39.1.5-b)

The National Insurance and Surety Commission, based on the provisions of Articles 366, fraction II, 369, fraction I, 372, fractions V, VI and XLII, 373 and 381 of the Law of Insurance and Surety Institutions, and

CONSIDERING

That on March 8, 2017, the "Agreement establishing the guidelines that must be observed by the dependencies and decentralized bodies of the Federal Public Administration, regarding the issuance of general administrative acts to which Article 69-H of the Federal Administrative Procedure Law applies" was published in the Official Journal of the Federation, through which, in terms of its Fifth Article, the Dependencies of the Federal Public Administration that issue new general administrative acts must expressly indicate in the corresponding draft the two regulatory obligations or the two acts that will be abrogated or repealed and that refer to the same regulated matter or economic sector.

That in terms of what is provided in the first paragraph of Article 78 of the General Law for Regulatory Improvement, for the issuance of regulations, the obligated subjects referred to in fraction XIX of Article 3 of the aforementioned legal instrument must expressly indicate in their regulatory proposal the regulatory obligations or acts to be modified, abrogated or repealed, with the aim of reducing the cost of compliance with them by an amount equal to or greater than that of the new obligations of the regulatory proposal to be issued and that refer or refer to the same regulated matter or sector.

That on March 26, 2019, Amending Circular 5/19 of the Single Insurance and Surety Circular was published in the Official Journal of the Federation, by virtue of which, in accordance with what is established in the seventh paragraph of its considering text, and with the aim of complying with the Fifth Article of the aforementioned Agreement, the National Insurance and Surety Commission acquired the commitment to administratively simplify the CNSF-12-015 procedure "Submission of report regarding authorized reinsurance underwriters", referred to in Chapter 34.2 of the Single Insurance and Surety Circular "ON AUTHORIZED UNDERWRITERS", as well as to administratively facilitate the delivery of information through an extension request, through an information system that allows entering such request remotely.

That in order to comply with what is established in the seventh considering paragraph of the aforementioned Amending Circular 5/19, and in observance of what is provided in the first paragraph of the aforementioned Article 78 of the General Law for Regulatory Improvement, the National Insurance and Surety Commission modifies Provisions 9.4.3 and 39.1.9, repeals Chapter 34.2, eliminates Annexes 34.2.1, 34.2.2-a, 34.2.2-b and modifies Annexes 39.1.5-a and 39.1.5-b of the Single Insurance and Surety Circular.

For the aforementioned reasons, this Commission issues the following modification to the Single Insurance and Surety Circular in the following terms:

AMENDING CIRCULAR 14/19 OF THE SINGLE INSURANCE AND SURETY CIRCULAR

(Provisions 9.4.3 and 39.1.9, Chapter 34.2 and Annexes 34.2.1, 34.2.2-a, 34.2.2-b, 39.1.5-a and 39.1.5-b)

FIRST.- Provisions 9.4.3 and 39.1.9 of the Single Insurance and Surety Circular are modified, to read as follows:

9.4.3.

...

I. ...

a) ... b) ... c) ... d) ...

For inspection and surveillance purposes, regardless of the internal control policies that the Ceding Institution or Mutual Society must observe, the Commission may request the information indicated in the previous paragraph at any time. In this case, the Ceding Institution or Mutual Society may prove the placement of risks with the confirmations that said Authorized Underwriters issue within the framework of the powers granted to them.

II. ...

a) ... b) ... c) ... d) ...

For inspection and surveillance purposes, regardless of the internal control policies that the Ceding Institution or Mutual Society must observe, the Commission may request the information indicated in the previous paragraph at any time. In this case, the Ceding Institution or Mutual Society may prove the placement of risks with the confirmations that said Authorized Underwriters issue within the framework of the powers granted to them.

39.1.9.

...

Likewise, the request for the extension of the legally established deadline for the delivery of information referred to in the previous paragraph may be made in an automated manner through the same SEIVE system, within which its resolution will also be managed.

The information that Entities and Supervised Persons must deliver through SEIVE in accordance with these Provisions, defined in the different Regulatory Reports and Annexes, will be presented to the Commission through the sending identifier named "product", which is defined in the respective Regulatory Report or Annex.

For the purposes of what is stated in this Provision, Entities and Supervised Persons must adhere to what is established in Provision 39.1.5, as well as to what is provided in the "User Manual for the Electronic Information Delivery System (SEIVE)", which will be available on the Commission's Website.

SECOND.- Chapter 34.2 of the Single Insurance and Surety Circular is repealed.

THIRD.- Annexes 34.2.1, 34.2.2-a and 34.2.2-b of the Single Insurance and Surety Circular are eliminated.

FOURTH.- The Content and the "List of Annexes" of the Single Insurance and Surety Circular are modified, to indicate as repealed Chapter 34.2 and eliminate the reference to Annexes 34.2.1, 34.2.2-a and 34.2.2-b, respectively.

FIFTH.- Annexes 39.1.5-a and 39.1.5-b of the Single Insurance and Surety Circular are modified.

TRANSITORY

SINGLE.- This Amending Circular shall enter into force on January 1, 2020.

This is made known to you, based on Articles 366, fraction II, 369, fraction I, 372, fractions V, VI and XLII, 373 and 381 of the Law of Insurance and Surety Institutions.

Respectfully,

Mexico City, September 24, 2019.- The President of the National Insurance and Surety Commission, Ricardo Ernesto Ochoa Rodríguez.- Signature.

ANNEX 39.1.5-a.

PROCEDURE FOR THE USE OF THE ELECTRONIC INFORMATION DELIVERY SYSTEM (SEIVE)

I.

Access to the Electronic Information Delivery System (SEIVE) is restricted so that only authorized users can access said system and send the corresponding information to the Commission;

II.

To use SEIVE, Institutions or Mutual Societies require:

a)

Obtain the access key of the Institution or Mutual Society in question. This access key will be delivered in printed form and in a closed envelope and will only be done for the case of Institutions or Mutual Societies that are starting operations. This access key is unique and non-transferable for each Institution or Mutual Society and identifies the legal entity individually before the Commission;

b)

Designate the person responsible for the functions of SEIVE administrator in the Institution or Mutual Society (hereinafter, "Administrator");

c)

Register the SEIVE Administrator with the Commission. For this, Institutions or Mutual Societies must use the Appointment and Person Registration System indicated in fraction II of Provision 39.1.8 of the Single Insurance and Surety Circular, selecting the option "Designation of the Responsible Administrator for Electronic Information Delivery";

d)

It is necessary that at the time of registering their appointment they have the "Letter of Designation of the Responsible Administrator of the Electronic Information Delivery System" and the "Format for the Designation of the Responsible Administrator of the Electronic Information Delivery System", both included in Annex 39.1.5-b, both filled out according to the requested data, as well as the additional documents required to carry out the procedure;

e)

The persons authorized to sign the "Letter of Designation of the Responsible Administrator of the Electronic Information Delivery System" autographically will be:

1)

For Institutions and Mutual Societies, the General Director, or in case of temporary absence, by some official of the immediately lower hierarchical level, and

2)

In the case of legal entities other than Institutions or Mutual Societies, by the General Director or legal representative;

f)

The procedure "Designation of the Responsible Administrator for Electronic Information Delivery" is on the Commission's Website and any modifications to said procedure will be published there, without limiting that, in the opinion of the Commission, other means of communication may be used to disseminate its use;

g)

The Commission will register the Administrator user key and deliver as a result of the procedure the temporary password of the administrator user designated by the Institution or Mutual Society. The temporary password assigned by the Commission must be changed by the Administrator through SEIVE itself to guarantee its confidentiality;

h)

The SEIVE Administrator is responsible for the confidentiality and use given to their user key and password;

i)

The Administrator must register in SEIVE each of the "users" for each type of information sent to the Commission, and

j)

The Administrator must register in SEIVE the persons who, for the purposes of this Annex, will be called "reviewers", who may perform queries to monitor the delivery of the information that the Institution or Mutual Society is obligated to report to the Commission, who will have the power to request through SEIVE, if required, the extension of legally established deadlines for information delivery, these persons must belong to the internal audit of the Institution or Mutual Society in accordance with what is established in Provision 3.3.5 of this Circular.

III.

To use SEIVE, supervised persons who are not included in those indicated in the previous fraction II, require:

a)

Having completed the corresponding registration procedure and being authorized as a person subject to the supervision of this Commission;

b)

Access key of the person in question, this access key will be generated through SEIVE itself and will be unique and non-transferable for each natural person, identifying them individually before the Commission;

c)

To generate their access key through SEIVE, natural persons must provide the data that the system itself requests in order to validate before the Commission the validity of their registration and the necessary data to generate the referred access key. In case the user is not registered in the Unique Register of Persons of this Commission, or their registration is not valid, they must carry out the corresponding procedures according to the figure that corresponds to them in accordance with the Single Insurance and Surety Circular;

d)

Supervised persons who obtain their access key can perform the information submissions to which they are obligated in accordance with the Single Insurance and Surety Circular within the deadlines and terms established in the Chapters corresponding to the information in question;

e)

Supervised persons who obtain their access key will be responsible for the confidentiality and use given to their user key and password, and

f)

Supervised persons who have an access key to SEIVE cannot designate other persons for the submission or consultation of the information to which they are obligated to deliver in accordance with the Single Insurance and Surety Circular, and

IV.

Authorized users to access SEIVE must adhere at all times to what is established in the "User Manual for the Electronic Information Delivery System (SEIVE)", which is on the Commission's Website.

ANNEX 39.1.5-b.

FORMAT FOR ACCEPTANCE AND RESPONSIBILITY FOR THE USE OF THE ELECTRONIC INFORMATION DELIVERY SYSTEM (SEIVE)

LETTER OF DESIGNATION OF THE RESPONSIBLE ADMINISTRATOR OF THE ELECTRONIC INFORMATION DELIVERY SYSTEM

(This letter must contain the name of the Institution or Mutual Society in question)

(Place and date)

National Insurance and Surety Commission

In my capacity as (General Director or equivalent) of (name of the Institution or Mutual Society) and in accordance with what is established in Provision 39.1.5 of the Single Insurance and Surety Circular, I designate before your Commission, (name of the Administrator) as Administrator of the Electronic Information Delivery System (SEIVE).

To said administrator, the power is granted to register users who will act as "responsible" for the submission of information and users who will act as "reviewers".

Attached to this is the "Format for the Designation of the Responsible Administrator of the Electronic Information Delivery System" filled out according to the requested data.

Respectfully

---

<name> (General Director or equivalent)

General Director of

(name of the Institution or Mutual Society)

FORMAT FOR THE DESIGNATION OF THE RESPONSIBLE ADMINISTRATOR OF THE ELECTRONIC INFORMATION DELIVERY SYSTEM

(This letter must contain the name of the Institution or Mutual Society in question)

(Place and date)

National Insurance and Surety Commission

The undersigned, under oath, states the following:

1.

I recognize as my own the user key that will be provided by the National Insurance and Surety Commission, which is intended for the administration of the Electronic Information Delivery System (SEIVE), through the Commission's Website, whose electronic address is: http://www.gob.mx/cnsf.

2.

I accept that the National Insurance and Surety Commission assigns me a temporary password, which I commit to modify once I have access to the administration of SEIVE, in order to guarantee the proper confidentiality of said password.

3.

I accept that the use of the user key and password indicated in points 1 and 2 above will be under my responsibility, understanding that both have the character of personal and non-transferable.

4.

I accept that all information to which I have access in the performance of my functions must be treated with strict confidentiality.

5.

I am obliged not to disclose to third parties the information provided by the National Insurance and Surety Commission related to the administration functions of SEIVE.

6.

I recognize that it is my responsibility to perform the functions related to the administration of SEIVE in accordance with the corresponding user manual published by the same National Insurance and Surety Commission, including, in an enumerative but not limiting manner, the following:

a)

Apply the security measures that, according to the characteristics of the existing technological platforms, the National Insurance and Surety Commission defines for the treatment of information sent by this Institution (or Mutual Society).

b)

Comply with the procedure for creating an electronic signature and with the procedure for verifying an electronic signature that the National Insurance and Surety Commission establishes.

c)

Change my password periodically through SEIVE itself, to guarantee that only I know it.

d)

Register, maintain and guarantee the security of the keys and passwords, both of the consultation users ("reviewers"), also authorized to request the extension of legally established deadlines, as well as of the responsible users to send information to the National Insurance and Surety Commission, for the surveillance and supervision of the operation of this Institution (or Mutual Society).

7.

I assume responsibility for the actions carried out using the user key assigned to me and the corresponding password.

8.

I accept and am aware that the National Insurance and Surety Commission reserves the right to revoke those user keys that are related to activities that put at risk the activities and functions of the Commission itself.

9.

I recognize that the data exposed here are true, I accept that they be incorporated into SEIVE and be used to contact me in any matter related to the performance of my functions as administrator of said system.

Respectfully

Name

Position within the

Institution

(or Mutual

Society)

Autographic Signature

Office Phone

Institutional Email Address

Place and date

---

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