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

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DOF: 25/10/2024

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

A logo appears at the margin, which says: 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 Gazette 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 (Certificate in AML/CFT matters), is directed to:

I. Compliance officers, independent external auditors, internal auditors and other professionals who provide their services to financial entities and other persons subject to the supervision of the National Banking and Securities Commission, with the aim of verifying 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 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 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" (Certification Provisions), published in the Official Gazette of the Federation on November 1, 2019.

IV. Those persons interested in renewing their AML/CFT Certificate.

PARTICIPATION BASES

FIRST.- Persons interested in obtaining or renewing the AML/CFT Certificate will be subject to what is provided in the Certification Provisions, 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 Certification Provisions, as well as that indicated in the "Instructions for requesting the obtaining or renewal of the certificate in matters of prevention of operations with resources of illicit origin and terrorism financing" (Instructions), which the 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 the Instructions, interested parties can consult the terms and conditions related to the process of obtaining and renewing the AML/CFT Certificate.

The National Banking and Securities Commission will notify the acceptance of the application through the email address that, according to the Instructions, has been provided by the participant.

THIRD.- During 2025, for the obtaining or renewal of the AML/CFT Certificate, two evaluations will be carried out with a capacity of up to 1,500 places in each, which will take place on the following dates: June 28 and October 25, 2025. Both evaluations will start at 9:00 a.m., with a duration of 4 hours each.

Participants must present themselves at 7:00 a.m., at the place and date assigned to them for the checking of the documentation referred to in the first paragraph of the SECOND Base above.

The two evaluations will be applied at 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 AML/CFT Certificate, the headquarters for the application of the evaluation 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 AML/CFT Certificate during 2025 will be as follows:

Stage	Date or Deadline
First Evaluation
Registration and submission of application for obtaining or renewal of the AML/CFT Certificate	From April 1 to May 8, 2025
Checking of documentation	June 28, 2025
Application of the evaluation	June 28, 2025
Notification of evaluation results	July 23, 2025
Second Evaluation
Registration and submission of application for obtaining or renewal of the AML/CFT Certificate	From July 29 to September 4, 2025
Checking of documentation	October 25, 2025
Application of the evaluation	October 25, 2025
Notification of evaluation results	November 19, 2025

FIFTH.- The result of the evaluation will be "Passing" or "Not Passing" according to what is provided in article 16 of the Certification Provisions.

SIXTH.- In order to provide attention to the doubts that participants formulate regarding the process of obtaining or renewing the AML/CFT Certificate, 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 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 Internet portal of the National Banking and Securities Commission and in the email address registered by the participant in the application for obtaining or renewing the AML/CFT Certificate.

EIGHTH.- The AML/CFT Certificates that expire on October 15, 2025, will remain valid until the notification of results of the second evaluation of the year 2025. The foregoing will be applicable to those participants who submit their renewal application during the dates provided for in the FOURTH Base of this call for the realization of the second evaluation, provided that their application has been accepted.

Additionally, AML/CFT Certificates that expire in 2025, with a validity different from that mentioned in the previous paragraph, will expire in accordance with what is established in the second paragraph of article 18 of the Certification Provisions, so, in order for interested persons to keep it valid, they must submit their renewal application in the certification process in which the notification of the results of the corresponding evaluation takes place prior to its expiration.

The issuance of a new AML/CFT Certificate will render ineffective the AML/CFT Certificate issued previously, in accordance with what is established in article 20 of the Certification Provisions.

In the event that the 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 AML/CFT Certificates that expire in 2025 will remain valid until the notification of the results of the evaluation to which they have registered, provided that their renewal application has been accepted.

Respectfully

Mexico City, October 18, 2024. - President of the National Banking and Securities Commission, Dr. Jesús de la Fuente Rodríguez.- Signature.

(R.- 557709 )

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