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

DOF: 06/10/2021

CALL for the certification in matters of prevention of operations with resources of illicit origin and terrorism financing

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

Treasury 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 and 16, fraction I, of the Law of the National Banking and Securities Commission; as well as

1, 4 and 5 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 terrorism financing", published in the Official Journal of the Federation on November 1,

2019, issues the following:

CALL FOR CERTIFICATION IN MATTERS OF PREVENTION OF OPERATIONS

WITH

RESOURCES OF ILICIT ORIGIN AND TERRORISM FINANCING

This call, relating to the process of obtaining and renewing the certificate in matters of

prevention of operations with resources of illicit origin and terrorism financing, hereinafter the

Certificate in matters of AML/CFT, is directed to:

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 Quater 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 of

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 Quater

or 400

Bis of the Federal Penal Code;

III.

Those persons who comply with what is 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 terrorism

financing" hereinafter Provisions for Certification, published in the Official Journal of the

Federation on November 1, 2019, and

IV.

Those persons interested in renewing their Certificate in matters of AML/CFT.

PARTICIPATION BASES

FIRST.- Persons interested in obtaining or renewing the Certificate in matters of AML/CFT, shall

be subject to what is provided in the Provisions for Certification, which aim to establish the

requirements and the process applicable for such effects.

SECOND.- Participants must send to the National Banking and Securities Commission the information

and documentation provided for in article 8 of the Provisions for Certification, as well as that

indicated in the "Instructions to request the obtaining or renewal of the certificate in matters of prevention of

operations with resources of illicit origin and terrorism financing" which the National Banking and Securities

Commission itself will make known through its Internet portal at the following address: https://www.gob.mx/cnbv/acciones-y-programas/certificacion-cnbv-en-materia-de-pld-ft .

In said instructions, interested parties may consult the terms and conditions related to the

process of obtaining and renewing the Certificate in matters of AML/CFT.

The National Banking and Securities Commission will notify the acceptance of the application, through the email

that, according to the aforementioned instructions, has been provided by the participant.

THIRD.- During the year 2022, for the obtaining or renewal of the Certificate in matters of AML/CFT, two

evaluations will be held with a quota of up to 1,500 places in each, which will be held on

the following dates: July 2 and November 5, 2022. Both evaluations will start

at 9:00

hours, with a duration of four hours each.

Participants must present themselves at 7:00 hours, at the place and date that corresponds to them, for

in case that sanitary measures allow, the checking of the documentation referred to in the first paragraph of the SECOND Base above will be carried out.

Each evaluation will be applied in the headquarters determined by the National Banking and Securities Commission in

the following federative entities: Mexico City, Jalisco and Nuevo León.

In the acceptance of the application for obtaining or renewing the Certificate in matters of AML/CFT, the

evaluation application headquarters will be indicated, according to the federative entity selected by the

participant in the registration of their application and according to the availability of places.

FOURTH.- The schedule for the processes of obtaining and renewing the Certificate in matters of AML/CFT during the year 2022, will be the following:

Stage

Date or Deadline

First Evaluation

Registration and submission of application for obtaining or

renewal of the Certificate in matters of AML/CFT

From April 4 to May 13, 2022

Checking of documentation

July 2, 2022

Application of the evaluation

July 2, 2022

Notification of the evaluation results

July 27, 2022

Second Evaluation

Registration and submission of application for obtaining or

renewal of the Certificate in matters of AML/CFT

From August 1 to September 9, 2022

Checking of documentation

November 5, 2022

Application of the evaluation

November 5, 2022

Notification of the evaluation results

December 2, 2022

FIFTH.- The result that falls on the evaluation will be "Approved" or "Not Approved", according to

what is provided in article 16 of the Provisions for Certification.

SIXTH.- In order to provide attention to the doubts that participants formulate regarding the process

of obtaining or renewing the Certificate in matters of AML/CFT, the email address is available:

certificacionpld@cnbv.gob.mx .

Cases not provided for in this call will be resolved by the National Banking and Securities

Commission, through the Vice Presidency of Supervision of Preventive Processes.

SEVENTH.- Any modification to the dates or deadlines provided for in the THIRD and FOURTH Bases of

this call, will be made known to the participants registered through the page of

Internet of the National Banking and Securities Commission and in the email registered in the application

for the obtaining of the Certificate in matters of AML/CFT.

EIGHTH. - The Certificates in matters of AML/CFT that end their validity on May 12 and July 25 of

2022, will remain valid until the notification of the results of the first evaluation of the year 2022.

The above will be applicable only for those participants who present their application for renewal of the

Certificate in matters of AML/CFT on the dates provided for the first evaluation in the FOURTH Base of

this call, provided that said application has been accepted.

In the event that this National Banking and Securities Commission resolves not to carry out, postpone or

reschedule any of the evaluations mentioned in the FOURTH Base of this call, the

Certificates in matters of AML/CFT of the participants referred to in the previous paragraph, will continue

valid until the notification of the results of the first evaluation that is carried out during the year 2022.

Respectfully

Mexico City, September 23, 2021.- President of the National Banking and Securities

Commission, Juan Pablo Graf Noriega.- Signature.

(R. 512062)

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