Authorization for the organization and operation of a Collective Financing Institution to be named UCOMBI, S.A.P.I. de C.V., Collective Financing Institution

Official Gazette of the Federation: 10/04/2023

OFFICIAL LETTER by which authorization is granted for the organization and operation of a Collective Financing Institution to be named UCOMBI, S

On the margin a seal with the National Shield, which reads: United Mexican States.- TREASURY.- Secretariat of Finance and Public Credit.- National Banking and Securities Commission.- Vice-Presidency of Regulations.- General Directorate of Specialized Authorizations.- Technical Vice-Presidency.- Official Letter No.: 311-95319/2023

Subject: Authorization for the organization and operation of a Collective Financing Institution to be named UCOMBI, S.A.P.I. DE C.V., COLLECTIVE FINANCING INSTITUTION.

UCOMBI, S.A.P.I. DE C.V. Av. Insurgentes Sur 682, Mezzanine, Col. Del Valle, Benito Juárez Borough, C.P. 03100, Mexico City. Doctor Paliza No. 55, Col. Centenario, C.P. 83260, Hermosillo, Sonora.

ATTN.: MR. FRANCISCO ANTONIO ASTIAZARAN SALCEDO Legal Representative

In terms of articles 1 and 2 of the Law of the National Banking and Securities Commission, this National Banking and Securities Commission (Commission) is a decentralized body of the Secretariat of Finance and Public Credit, whose purpose is to supervise and regulate, within its scope of competence, the entities that are part of the Mexican financial system, in order to ensure their stability and proper functioning, as well as to maintain and promote the sound and balanced development of said system as a whole, in protection of public interests. In accordance with article 4, sections XI and XXXVIII of said law, the Commission is responsible for authorizing the incorporation and operation of those entities indicated by law, as well as exercising the other powers attributed to it by the Law of the National Banking and Securities Commission.

In this vein, article 35 of the Law to Regulate Financial Technology Institutions establishes that persons intending to carry out activities attributed to collective financing institutions or electronic payment fund institutions must request authorization as a financial technology institution from the Commission, which will grant it when, in its judgment, legal and regulatory requirements are adequately met, prior agreement of the Interinstitutional Committee referred to in said article 35.

Considering the foregoing, with a written submission presented on March 10, 2022, UCOMBI, S.A.P.I. DE C.V. (UCOMBI or the company) requested authorization from the Commission to organize and operate a Collective Financing Institution to be named UCOMBI, S.A.P.I. DE C.V., COLLECTIVE FINANCING INSTITUTION, attaching for this purpose the corresponding supporting information and documentation indicated in article 39 of the Law to Regulate Financial Technology Institutions.

In terms of article 5, second paragraph of the Law to Regulate Financial Technology Institutions, this Commission notified UCOMBI within the period established in said law to address various observations related to its authorization request.

In relation to the foregoing, UCOMBI submitted documentation and information in order to respond to the aforementioned notification. Additionally, this authority requested various complementary documentation and information from UCOMBI in order to have sufficient judgment elements to resolve the authorization request submitted by UCOMBI; the company complied with the complementary information request and sent updated documentation and information related to its file.

The company requested an extension to the resolution period and an extension for the processing, which were granted.

Having stated the foregoing, it is brought to your attention that the Interinstitutional Committee, in a session held on March 28, 2023, based on articles 11 and 35, in relation to article 15 of the Law to Regulate Financial Technology Institutions and,

CONSIDERING

FIRST.- That the documentation and information submitted in connection with the authorization request for the organization and operation of the collective financing institution to be named UCOMBI, S.A.P.I. DE C.V., COLLECTIVE FINANCING INSTITUTION, complies with the requirements set forth in article 15, in relation to article 39 of the Law to Regulate Financial Technology Institutions and with articles 3, 4 and 6 of the General Provisions applicable to Financial Technology Institutions, and,

SECOND.- That from the analysis of the documentation and information received, it was concluded that from a legal, financial, and operational point of view, the requested authorization is appropriate, and therefore, in accordance with the certification of the Secretary of the Interinstitutional Committee, which is transcribed in the relevant part, the following was adopted:

AGREEMENT

"SIXTH.- The members of the Interinstitutional Committee, in accordance with articles 11 and 35, in relation to article 15 of the Law to Regulate Financial Technology Institutions, unanimously agreed to grant authorization for the organization and operation of a collective financing institution to be named UCOMBI, S.A.P.I. DE C.V., COLLECTIVE FINANCING INSTITUTION"

The foregoing agreement is adopted without prejudice to other authorizations that, by reason of the described act, must be obtained from the Commission or any other financial authority, in terms of the applicable provisions, as well as the exercise of the powers attributed to the Commission itself during the organization process of UCOMBI, S.A.P.I. DE C.V., COLLECTIVE FINANCING INSTITUTION, in which the applicable requirements for the start of operations must be met.

Therefore, this National Banking and Securities Commission, prior agreement of the Interinstitutional Committee, authorizes the organization and operation of a collective financing institution to be named UCOMBI, S.A.P.I. DE C.V., COLLECTIVE FINANCING INSTITUTION.

The entity whose organization and operation is authorized, will be subject to the following:

BASES

FIRST. The company's name will be UCOMBI, S.A.P.I. DE C.V., COLLECTIVE FINANCING INSTITUTION.

SECOND. Its registered office will be in Hermosillo, Sonora.

THIRD. Its duration will be indefinite.

FOURTH. The amount of its initial social capital will be $6,230,000.00 (Six million two hundred thirty thousand pesos 00/100 M.N.).

FIFTH. Its social object will correspond to the performance of activities in national currency contemplated in articles 15 and 16, section I of the Law to Regulate Financial Technology Institutions. Additionally, it may carry out the activities provided for in article 19 of the aforementioned legal order, in accordance with its social object.

SIXTH. The authorization referred to in this official letter is, by its very nature, non-transferable.

SEVENTH. UCOMBI, S.A.P.I. DE C.V., COLLECTIVE FINANCING INSTITUTION will be subject to the supervision of the National Banking and Securities Commission and the Bank of Mexico, in the exercise of their respective attributions, as well as other competent financial authorities in the terms established by law and provisions emanating therefrom.

EIGHTH. The services consisting of collective debt financing that UCOMBI, S.A.P.I. DE C.V., COLLECTIVE FINANCING INSTITUTION provides by virtue of this authorization, as well as other operations it carries out, as well as its organization and operation in general, will be subject to the Law to Regulate Financial Technology Institutions, to the rules and general provisions applicable to Financial Technology Institutions issued by the National Banking and Securities Commission, to the provisions regarding its operations issued by the Bank of Mexico, and to other current norms and provisions and those that may be issued in the future by any competent authority, including those related to operations with illicitly sourced funds and terrorism financing, which by their nature are applicable.

UCOMBI, S.A.P.I. DE C.V., COLLECTIVE FINANCING INSTITUTION, must accredit to this Commission, at least thirty business days prior to the start of its operations, compliance with the requirements established in article 40 of the Law to Regulate Financial Technology Institutions.

This document is issued based on the aforementioned legal provisions, as well as in exercise of the powers conferred in articles 1, 2, 4, sections XI and XXXVIII, 10, sections III and V of the Law of the National Banking and Securities Commission, as well as articles 1, 3, sections IV and V, 4, sections I, subsections A and B and II, subsection A, numeral 5) and subsection B, numeral 32), 14, 17, 35 and 45, section I and 64, third paragraph of the Internal Regulations of the National Banking and Securities Commission, published in the Official Gazette of the Federation on February 28, 2022.

Sincerely Mexico City, March 29, 2023. - General Director of Specialized Authorizations, Lic. José Antonio Vizcaíno Ruiz .- Signature.- Technical Vice-President, Lic. Ramiro Edgar Álvarez Hernández .- Signature.

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