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

Official Gazette of the Federation: 30/10/2023

CALL FOR CERTIFICATION IN MATTERS OF PREVENTION OF OPERATIONS WITH RESOURCES OF ILLICIT ORIGIN AND FINANCING OF TERRORISM

In the margin a seal with the National Shield, stating: United Mexican States.- TREASURY.- Secretariat of Finance and Public Credit.- National Banking and Securities Commission.

The National Banking and Securities Commission, based on the provisions of articles 4, sections X, X Bis, XXXVI and XXXVIII and 16, section 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 financing of terrorism", 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 ILLICIT ORIGIN AND FINANCING OF TERRORISM

This call, regarding the process of obtaining and renewing the certificate in matters of prevention of operations with resources of illicit origin and financing of terrorism (Certificate in Matters of PLD/FT), is addressed 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 purpose 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 assumptions 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 this entity 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 assumptions 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 financing of terrorism" (Provisions for Certification), published in the Official Gazette of the Federation on November 1, 2019.

IV.

Those persons interested in renewing their Certificate in Matters of PLD/FT.

PARTICIPATION BASES

FIRST.- Persons interested in obtaining or renewing the Certificate in Matters of PLD/FT shall be subject to the provisions 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 financing of terrorism" (Instructions), which the Commission itself makes 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 may consult the terms and conditions related to the process of obtaining and renewing the Certificate in Matters of PLD/FT.

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

THIRD.- During 2024, for the obtaining or renewal of the Certificate in Matters of PLD/FT, two evaluations will be carried out with a capacity of up to 1,500 spots in each one, which will take place on the following dates: June 29 and October 26, 2024. Both evaluations will begin at 9:00 hours, with a duration of 4 hours each.

Participants must present themselves at 7:00 hours, at the place and date that corresponds to them so that the verification of the documentation referred to in the first paragraph of Base SECOND above is carried out.

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

In the acceptance of the request for obtaining or renewal of the Certificate in Matters of PLD/FT, the venue for application of the evaluation will be indicated according to the federal entity selected by the participant in the registration of their request and according to the availability of spots.

FOURTH.- The schedule for the processes of obtaining and renewal of the Certificate in Matters of PLD/FT during 2024, will be the following:

Stage	Date or term
First Evaluation
Registration and sending of request for obtaining or renewal of the Certificate in Matters of PLD/FT	From April 2 to May 9, 2024
Verification of documentation	June 29, 2024
Application of the evaluation	June 29, 2024
Notification of evaluation results	July 23, 2024
Second Evaluation
Registration and sending of request for obtaining or renewal of the Certificate in Matters of PLD/FT	From July 30 to September 5, 2024
Verification of documentation	October 26, 2024
Application of the evaluation	October 26, 2024
Notification of evaluation results	November 20, 2024

FIFTH.- The result that falls to the evaluation will be "Approving" or "Not Approving" according to the provisions in article 16 of the Provisions for Certification.

SIXTH.- In order to provide attention to the doubts that participants formulate in relation to the process of obtaining or renewal of the Certificate in Matters of PLD/FT, the email address certificacionpld@cnbv.gob.mx is available.

Cases not provided for in this call will be resolved by the National Banking and Securities Commission, through the Vice Presidency of Preventive Processes Supervision.

SEVENTH.- Any modification to the dates or terms provided for in Bases THIRD and FOURTH of this call, will be made known to registered participants through the Internet portal of the National Banking and Securities Commission and in the email registered by the participant in the request for the obtaining or renewal of the Certificate in Matters of PLD/FT.

EIGHTH.-

The Certificates in Matters of PLD/FT, will expire in accordance with what is established in the second paragraph of article 18 of the Provisions for Certification, therefore, in order for persons interested in renewing it to keep it valid, they must submit their renewal request in the certification process in which the notification of the results of the corresponding evaluation, is carried out prior to its expiration.

In the event that the National Banking and Securities Commission resolves not to carry out, postpone or reschedule any of the evaluations mentioned in Base FOURTH of this call, the Certificates in Matters of PLD/FT of the participants referred to in the previous paragraph, will continue to be valid until the notification of the results of the evaluation to which they have registered, provided that their renewal request has been accepted.

The issuance of a new Certificate in Matters of PLD/FT will render without effect the one issued previously in accordance with what is established in article 20 of the Provisions for Certification.

Sincerely,

Mexico City, October 23, 2023. - President of the National Banking and Securities Commission, Dr. Jesús de la Fuente Rodríguez .- Signature.

(R.- 544130)

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