Call for Certification in Matters of Prevention of Operations with Illicit Proceeds and Terrorism Financing — SHCP — MX

DOF: 28/07/2016

Call for Certification in Matters of Prevention of Operations with Illicit Proceeds and Terrorism Financing

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

The National Banking and Securities Commission, based on the provisions of 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 Illicit Proceeds and Terrorism 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 ILICIT PROCEEDS AND TERRORISM FINANCING

This call regarding the certification process in matters of prevention of operations with illicit proceeds and terrorism financing is directed to:

I.
Compliance officers, independent external auditors, internal auditors and other professionals who provide their services in unregulated multiple-object financial societies and the National Financial Institution for Agricultural, Rural, Forestry and Fisheries Development, 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 fall under the circumstances of articles 139 Quater or 400 Bis of the Federal Penal Code;

II.
Auditors and other professionals who assist 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 fall under the circumstances of articles 139 Quater 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 Illicit Proceeds and Terrorism 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 meet 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 Illicit Proceeds and Terrorism 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 Illicit Proceeds and Terrorism 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.cnbv.gob.mx.

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

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

THIRD.- The examination will take place on Saturday, October 29, 2016, at 9:00 a.m., with a duration of four hours.

Interested persons must present themselves at 7:00 a.m. for the verification of the documentation indicated in the SECOND base above.

The examination will be applied at the headquarters determined by the National Banking and Securities Commission in the following federal entities: Baja California; Mexico City; Chiapas; Chihuahua; Coahuila; State of Mexico; Guanajuato; Jalisco; Morelos; Nuevo León; Puebla; Querétaro; Quintana Roo; San Luis Potosí; Sinaloa; Sonora; Tamaulipas and Yucatán.

In the acceptance of the respective certificate application, the headquarters and place of application of the examination will be indicated, according to the federal entity selected by the interested person and the available places distributed as follows:

FEDERAL ENTITY	PARTICIPANTS
Baja California	170
Mexico City	1000
Chiapas	75
Chihuahua	120
Coahuila	70
State of Mexico	30
Guanajuato	65
Jalisco	200
Morelos	60
Nuevo León	200
Puebla	80
Querétaro	50
Quintana Roo	40
San Luis Potosí	50
Sinaloa	70
Sonora	100
Tamaulipas	80
Yucatán	40

FOURTH.- The schedule of the certification process will be as follows:

Stage	Date or Deadline
Registration and submission of certificate application	August 1 to August 31, 2016 Verification of documentation

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

SIXTH.- To guarantee the attention and resolution of doubts that participants may 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 Directorates of Prevention of Operations with Illicit Proceeds A and B, of the Vice Presidency of Preventive Process Supervision.

Respectfully,

Mexico City, July 21, 2016. - The President of the National Banking and Securities Commission, Jaime González Aguadé. - Signature.

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