Call for Certification in Anti-Money Laundering and Counter-Terrorist Financing

DOF: 08/11/2016

Call for Certification in Matters of Prevention of Operations with Resources of Illicit Origin and Terrorist Financing

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

The National Banking and Securities Commission, based on what is established in articles 4, fractions X, X Bis, XXXVI and XXXVIII; 16, fraction I of the Law of the National Banking and Securities Commission, as well as 1 and 7, first paragraph of the "General Provisions for the Certification of Independent External Auditors, Compliance Officers and Other Professionals in Matters of Prevention of Operations with Resources of Illicit Origin and Terrorist Financing", published in the Official Gazette of the Federation on October 2, 2014 and modified by resolution published in said dissemination organ on March 13, 2015, issues the following:

CALL FOR CERTIFICATION IN MATTERS OF PREVENTION OF OPERATIONS WITH RESOURCES OF ILICIT ORIGIN AND TERRORIST FINANCING

This call regarding the certification process in matters of prevention of operations with resources of illicit origin and terrorist financing is directed to:

I. Compliance officers, independent external auditors, internal auditors and other professionals who provide their services in financial entities and other persons subject to the supervision of the National Banking and Securities Commission, for the verification of compliance with financial laws and provisions emanating from them in matters of prevention, detection and reporting of acts, omissions or operations that could be located in the circumstances of articles 139 Quáter or 400 Bis of the Federal Penal Code;

II. Auditors and other professionals who cooperate with the National Banking and Securities Commission when it hires them, for the verification of compliance with financial laws and provisions emanating from them in matters of prevention, detection and reporting of acts, omissions or operations that could be located in the circumstances of articles 139 Quáter or 400 Bis of the Federal Penal Code, and

III. Those natural persons who meet the requirements and documentation established in the "General Provisions for the Certification of Independent External Auditors, Compliance Officers and Other Professionals in Matters of Prevention of Operations with Resources of Illicit Origin and Terrorist Financing", published in the Official Gazette of the Federation on October 2, 2014 and modified by resolution published in said dissemination organ on March 13, 2015.

PARTICIPATION BASES

FIRST.- Interested persons must cover the requirements referred to in article 9 of the "General Provisions for the Certification of Independent External Auditors, Compliance Officers and Other Professionals in Matters of Prevention of Operations with Resources of Illicit Origin and Terrorist Financing", published in the Official Gazette of the Federation on October 2, 2014 and modified by resolution published in said dissemination organ on March 13, 2015.

SECOND.- Participants must send to the National Banking and Securities Commission the information and documentation provided for in article 10 of the provisions referred to in the FIRST Base above, and in the "Instructions for Requesting the Issuance of the Certificate in Matters of Prevention of Operations with Resources of Illicit Origin and Terrorist Financing", which the National Banking and Securities Commission will make known on its internet portal, within the section named "Obtaining the Certificate" at the following address http://www.gob.mx/cnbv

In these Instructions, participants can consult the terms and conditions related to the certification process.

The National Banking and Securities Commission will notify acceptance of the application through the same medium used for sending information referred to in this Base.

THIRD.- During the year 2017, 3 exams will be held with a capacity of up to 1,500 places per evaluation, which will take place on the following dates: April 22, July 1 and November 4, 2017, all at 9:00 hours, with a duration of four hours.

Interested persons must present themselves at 7:00 hours on the date corresponding to them, for the checking of the documentation indicated in the SECOND Base above.

Each exam will be applied at the headquarters determined by the National Banking and Securities Commission in the following federal entities: Mexico City, Jalisco and Nuevo León.

In the acceptance of the respective certificate application, the venue for applying the exam will be indicated, according to the federal entity selected by the interested person and the available places, which are distributed for each of the dates mentioned in this Base, as follows:

FEDERAL ENTITY	PARTICIPANTS
Mexico City	500
Jalisco	500
Nuevo León	500

FOURTH.- The schedule for each certification process during the year 2017 will be as follows:

Stage	Date or Deadline
January	Registration and submission of certificate application request
From January 2 to January 31, 2017
---
Documentation checking
April 22, 2017
Application of the exam
April 22, 2017
Notification of exam results
May 22, 2017
April	Registration and submission of certificate application request
From April 1 to April 30, 2017
---
Documentation checking
July 1, 2017
Application of the exam
July 1, 2017
Notification of exam results
July 28, 2017
August	Registration and submission of certificate application request
From August 1 to August 31, 2017
---
Documentation checking
November 4, 2017
Application of the exam
November 4, 2017
Notification of exam results
December 4, 2017

FIFTH.- The result of the evaluation will be "Passing" or "Not Passing".

SIXTH.- In order to guarantee the attention and resolution of doubts that participants formulate regarding the process, the email address certificacionpld@cnbv.gob.mx is available.

Cases not foreseen in this call will be resolved by the National Banking and Securities Commission, through the General Directions of Prevention of Operations with Resources of Illicit Origin A and B, of the Vice Presidency of Supervision of Preventive Processes.

Respectfully,

Mexico City, October 27, 2016. - The President of the National Banking and Securities Commission, Jaime González Aguadé.- Rubric.

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