Call for Certification in Anti-Money Laundering Matters for Individuals Engaging in Vulnerable Activities and Compliance Officers

DOF: 16/08/2024

CALL for the certification in matters of prevention of operations with resources of illicit origin, directed at individuals who perform vulnerable activities and the persons responsible for compliance with the obligations established in the Federal Law for the Prevention and Identification of Operations with Resources of Illicit Origin.

At the margin, a seal with the National Coat of Arms, which reads: United Mexican States.- TREASURY.- Ministry of

Treasury and Public Credit.- Financial Intelligence Unit.- Mexico.

The Financial Intelligence Unit, based on what is provided in Article 34 Bis of the General Rules referred to in the Federal Law for the Prevention and Identification of Operations with Resources of Illicit Origin, issues the following:

CALL FOR CERTIFICATION IN MATTERS OF PREVENTION OF OPERATIONS WITH RESOURCES OF ILICIT ORIGIN, DIRECTED AT INDIVIDUALS WHO PERFORM VULNERABLE ACTIVITIES AND AT THE PERSONS RESPONSIBLE FOR COMPLIANCE WITH THE OBLIGATIONS ESTABLISHED IN THE FEDERAL LAW FOR THE PREVENTION AND IDENTIFICATION OF OPERATIONS WITH RESOURCES OF ILICIT ORIGIN

BASES

I.

General Aspects

FIRST. This Call aims to establish the requirements and the applicable procedure for the Financial Intelligence Unit of the Ministry of Treasury and Public Credit to certify individuals who perform Vulnerable Activities as defined in Article 17 of the Federal Law for the Prevention and Identification of Operations with Resources of Illicit Origin, and the persons responsible for compliance as defined in Article 20 of the same law, in matters of compliance with said law, its Regulations, and its General Rules.

SECOND. For the purposes of these bases, the following terms shall be understood in singular or plural as:

a)

Certificate, the document issued by the Unit, in which the certification is recorded in terms of Article 34 Bis of the General Rules referred to in the Federal Law for the Prevention and Identification of Operations with Resources of Illicit Origin.

b)

Instruction Manual, the document that the Unit makes known through its Internet portal, which details the process for obtaining the Certificate, as well as the specifications required to carry out the procedure.

c)

Law, the Federal Law for the Prevention and Identification of Operations with Resources of Illicit Origin.

d)

Evaluating Organization, the external organization that designs, develops, applies, and grades the evaluation; it also establishes, collects directly, and administers the recovery fee for the evaluation.

e)

Participating Person, the individual who intends to obtain the Certificate in terms of what is provided in these bases.

f)

Platform, the website through which the application process for obtaining the Certificate is carried out.

g)

Internet Portal, the electronic page www.gob.mx/uif

h)

Rules, the General Rules referred to in the Law.

i)

Unit, the Financial Intelligence Unit of the Ministry of Treasury and Public Credit.

THIRD. This Call is directed at:

a)

Individuals who perform Vulnerable Activities referred to in Article 17 of the Law.

b)

Persons responsible for compliance who have accepted their designation in accordance with Article 20 of the Law.

c)

Those individuals interested in obtaining their Certificate and who comply with what is established in this Call.

FOURTH. Persons interested in obtaining the Certificate shall be subject to what is provided in the bases of this Call.

FIFTH. The interpretation of these bases and the attention of queries related to their application shall correspond to the Unit.

SIXTH. Notifications related to the cases indicated in these bases shall be carried out by the Unit through the Platform and the email address that the Participating Person has indicated for such purposes in the corresponding application, in terms of what is provided in this Call, in the Instruction Manual, and in other documents related to this Call, which are published by the Unit through the Internet Portal.

Once the Unit carries out its electronic communications, the corresponding notification shall be deemed made, and a record shall be generated with the date and time of the respective sending, considering said record as an acknowledgment of receipt for all legal effects that correspond.

Notifications shall take effect on the next business day following that on which the communication is made.

II.

Process for Obtaining the Certificate

SEVENTH. The process for obtaining the Certificate shall consist, at least, of the following stages:

a)

Publication of the Call.

b)

Payment, registration, and submission of the application by the Participating Person.

c)

Verification of documentation and acceptance of the application.

d)

Evaluation.

e)

Notification of the evaluation result.

f)

Issuance of the Certificate to accredited persons.

EIGHTH. The process for obtaining the Certificate shall begin, in accordance with what is established in Article 34 Bis of the Rules, with the publication of this Call in the Official Gazette of the Federation.

NINTH. Once the Participating Person registers, it shall be considered that they accept the terms and conditions established by the Unit provided in this Call, in the Instruction Manual, and in other documents related to this, issued by the Unit, as well as the result that may arise from their evaluation. In that same act, they will be provided with a file number that will serve to follow up on the status of the Certificate obtaining process.

TENTH. Participating persons must submit their application by sending to the Unit the information and documentation provided in the Requirements section of this Call, as well as that indicated in the Instruction Manual for requesting the obtaining of the Certificate that the Unit publishes through its Internet Portal.

All files shall be attached electronically in accordance with the specifications provided in the Instruction Manual.

In said Instruction Manual, the detailed procedure for the presentation of applications, as well as the other terms and conditions of the Certificate obtaining process, can be consulted.

The Unit will notify the acceptance of the application through the Platform and the email address that, according to the aforementioned Instruction Manual, has been provided by the Participating Person.

ELEVENTH. For the obtaining of the Certificate, in terms of this Call, the evaluation will be held on November 23, 2024, at the times and locations that are notified, according to their availability, established by the Unit.

The Participating Person may only choose one location to present their evaluation.

TWELFTH. The process for obtaining the Certificate corresponding to this Call will be carried out according to the following schedule:

Stage

Date or Deadline

Registration and submission of application for obtaining the Certificate

From August 19 to September 13, 2024

Application of the evaluation

November 23, 2024

Notification of the evaluation results

December 10, 2024

THIRTEENTH. The following are impediments for the Participating Person to obtain the Certificate:

a)

Having been convicted by a final judgment for any property-related crime.

b)

Being disqualified by a final resolution to hold a job, position, or commission in the federal, state, or municipal public service, or in the Mexican financial system or of any other country.

c)

Being on the official lists issued by Mexican authorities, international organizations, intergovernmental groupings, or authorities of other countries, of persons linked or probably linked to operations with resources of illicit origin, terrorism or its financing, or with other illegal activities.

FOURTEENTH. Regardless of what is stated in the THIRTEENTH Base of this Call, the Unit may interrupt and unilaterally terminate the Certificate obtaining process when:

I.

During the process, it becomes aware of any inconsistency in the information or documentation provided; or

II.

Any other cause arises directly or indirectly related to the compliance with the Unit's powers, based on the information it has, obtains, or is provided by public authorities, national, foreign, or international with competence in matters of prevention and combat against money laundering and/or the financing of terrorism.

In the case referred to in the preceding fraction I, the Unit will require the Participating Person to, within a period of three business days counted from the next business day following the day the respective notification takes effect, manifest in writing freely what is in their interest and provide the information or documentation that rectifies what was observed by the Unit. In case the Participating Person does not attend to said requirement, their application shall be considered not submitted.

Once the information or documentation provided by the Participating Person is analyzed and the Unit determines that the observations that gave rise to the interruption have been rectified, the process for obtaining the Certificate will resume; otherwise, it will terminate said process for the Participating Person.

The Unit will notify the Participating Person of the decision's outcome within a period not exceeding fifteen business days, counted from the next business day following the date the document referred to in the second paragraph of this base is presented to the Unit.

In the case referred to in fraction II, the Unit will only notify the basis and reason for the interruption, and the obtaining of certification process shall be considered definitively concluded.

III.

Requirements and Documentation

FIFTEENTH. Participating persons must provide and attach to the application for obtaining the Certificate, the following information and documentation:

a)

Application format for obtaining the Certificate addressed to the Unit; downloadable from the Platform.

b)

Acceptance format to receive electronic notifications related to the Certificate obtaining process; downloadable from the Platform.

c)

Letter under oath, stating that they are not in the situations referred to in the THIRTEENTH Base, items a) and b) of this Call, as well as that the information and documentation provided in accordance with this base is true; format downloadable from the Platform.

d)

Letter of authorization for the publication of their name in the list of persons who obtained the Certificate, which will be published on the internet portal.

e)

Valid official identification with photograph issued by a Mexican authority, which may be the voter credential with photograph or the passport. In the case of foreign nationals, only the passport issued by the country of which the person is a national or the document issued by the National Institute of Migration that accredits their migratory status, valid, will be accepted.

f)

In the case of Mexican persons, the Unique Population Registry Key updated, issued by the National Population Registry.

g)

Curriculum information.

h)

Proof of payment for the evaluation concept issued by the banking institution, which, once their application has been accepted, cannot be used again.

The recovery fee for the evaluation will be $7,500.00 (seven thousand five hundred pesos 00/100 M.N.) and will be paid directly to the Evaluating Organization, based on the procedure established in the Instruction Manual.

The Evaluating Organization is responsible for the administration of the recovery fee, without the Unit receiving directly or indirectly the total or proportional part of the payment, so all matters and procedures related to the collection and, if applicable, return of the payment, will be carried out before the Evaluating Organization, in accordance with the guidelines established by the same.

i)

Those indicated in the Instruction Manual.

The Unit may carry out the necessary actions to verify the truthfulness of the information and/or documentation provided by the Participating Person.

SIXTEENTH. The Unit will have a period of fifteen business days, from the next business day following the end of the Registration and submission of application for obtaining the Certificate stage, to notify if the application was accepted or rejected, except for the case provided in the FOURTEENTH Base of this Call.

SEVENTEENTH. In case the Participating Person has omitted information or documentation, or if errors, corrections, strikethroughs, or illegibility occur, the Unit, on a single occasion, will request that they rectify the deficiency or omission in question. This is without prejudice to the Unit's ability to require, cite, or contact the Participating Person to clarify doubts regarding the information or documentation attached to the application.

The Participating Person will have a period of three business days counted from the next business day following the day the notification of the application referred to in the previous paragraph takes effect, to rectify what is appropriate. Once the requirement is rectified, the period referred to in the SIXTEENTH Base will restart.

In case the Participating Person does not rectify the deficiencies or omissions in the information and/or documentation, their application shall be considered not submitted, and they may present a new one in the next Call that is in effect.

EIGHTEENTH. The Participating Person, in order to present the evaluation, must exhibit before the Evaluating Organization, valid official identification with photograph, preferably the one they attached to their application, in terms of item e) of the FIFTEENTH Base of this Call.

IV.

Evaluation

NINETEENTH. The evaluation will generally cover the following areas:

a)

Generalities of the anti-money laundering and counter-terrorist financing regime.

b)

Vulnerable Activities and their obligations.

c)

Legal responsibility in the administrative and penal scope applicable to Vulnerable Activities.

TWENTIETH. The Unit will make known, through its Internet Portal, the syllabus and other documents corresponding to this Call.

TWENTY-FIRST. In case the Participating Person does not appear for the evaluation on the scheduled date, time, and location, it shall be understood that they withdraw their application for obtaining the Certificate, and the payment made for the evaluation concept will not be refunded.

TWENTY-SECOND. The Unit will notify the Participating Person, in accordance with the SIXTH Base, the result of their evaluation on the date established in the TWELFTH Base.

The result referred to in the previous paragraph will be "Approved" or "Not Approved" and in no case will it contain grades, scores, or percentages, nor will it be subject to any review or claim.

V.

Issuance of the Certificate

TWENTY-THIRD. In case the evaluation result is "Approved", the Unit will issue the Certificate to the Participating Person, within thirty business days following its notification.

Once all Certificates are issued, the Unit will make known through its Internet Portal, a list of persons who obtained it and who gave their consent for the publication of personal data.

TWENTY-FOURTH. The Certificate will be issued electronically, will contain the date of issuance, as well as its validity, and will be issued under the security and inviolability standards that the Unit itself considers.

The validity of the Certificate will be five years and will begin to be counted from the date of its issuance.

VI.

Revocation of Certification

TWENTY-FIFTH. When the Unit becomes aware of the occurrence of any of the following situations, it may revoke the Certificate of any person who falls into any of these:

a)

Any of the situations referred to in the THIRTEENTH Base of this Call are detected or occur.

b)

The situations established in the FOURTEENTH Base of this Call occur.

TWENTY-SIXTH. In case the Unit considers that a person with a valid Certificate has updated any of the situations for its revocation, it will notify the interested person so that, within the term of fifteen business days counted from the next business day following the day the notification takes effect, they manifest what is in their right.

The Unit will issue its final decision on the revocation within thirty business days following the expiration of the period referred to in the previous paragraph.

VII.

Final Guidelines

TWENTY-SEVENTH. The Unit may carry out the process for obtaining the Certificate with the support of legal entities of a public or private nature, national or foreign.

TWENTY-EIGHTH. The Unit may make invitations to individuals on an individual and direct basis to participate in the Certificate obtaining process.

TWENTY-NINTH. The Unit may issue the Certificate on an honorary basis to those public servants who have collaborated in the process of elaborating the evaluation, when they so request, provided that they are not in any of the situations provided in the THIRTEENTH and FOURTEENTH Bases.

THIRTIETH. Any modification to the locations, dates, or deadlines referred to in the ELEVENTH and TWELFTH Bases of this Call will be made known to the registered participating persons, through the Unit's Internet Portal.

In case the Unit decides not to carry out, postpone, or reschedule the evaluation mentioned in the SEVENTH Base of this Call, the corresponding notice will be published through its Internet Portal.

THIRTY-FIRST. In order to provide attention to the doubts that participating persons formulate regarding the Certificate obtaining process, the following email address is available: certificacion_uif@hacienda.gob.mx.

When it concerns any matter related to the payment of the recovery fee, the Evaluating Organization makes available the email address: proceso.evaluacion@anuies.mx.

THIRTY-SECOND. Any case not foreseen in this Call will be resolved by the Unit.

THIRTY-THIRD. This Call renders ineffective the Call for certification in matters of prevention of operations with resources of illicit origin, directed at individuals who perform Vulnerable Activities and the persons responsible for compliance with the obligations established in the Federal Law for the Prevention and Identification of Operations with Resources of Illicit Origin, issued in the year 2023.

Respectfully,

Mexico City, August 16, 2024. - The Head of the Financial Intelligence Unit, Lic. Pablo Gómez Álvarez.- Signature.

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