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

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DOF: 19/09/2018

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

At the margin, a seal with the National Emblem, 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 Resources of Illicit Origin and Financing of Terrorism", published in the Official Gazette of the Federation on October 2, 2014 and modified through resolutions published in said dissemination organ on March 13, 2015 and July 4, 2017, issues the following:

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

This call regarding the certification process in matters of prevention of operations with resources of illicit origin and financing of terrorism 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, 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 provisions 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 provisions 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 Resources of Illicit Origin and Financing of Terrorism", published in the Official Gazette of the Federation on October 2, 2014 and modified through resolutions published in said dissemination organ on March 13, 2015 and July 4, 2017.

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 Resources of Illicit Origin and Financing of Terrorism", published in the Official Gazette of the Federation on October 2, 2014 and modified through resolutions published in said dissemination organ on March 13, 2015 and July 4, 2017.

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 "Instruction for Requesting the Issuance of the Certificate in Matters of Prevention of Operations with Resources of Illicit Origin and Financing of Terrorism", which the National Banking and Securities Commission will make known at the following Internet address: https://www.gob.mx/cnbv/acciones-y-programas/ certificacion-cnbv-en-materia-de-pld-ft.

In said instruction, 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 means established in the provisions referred to in the FIRST Base above.

THIRD.- During the year 2019, 2 exams will be held, with a capacity of up to 1,500 places per evaluation, which will take place on the following dates: July 6 and November 9, 2019, each will begin its application at 9:00 hours, with a duration of four hours.

Interested persons must present themselves at 7:00 hours on the date assigned to them, for the verification of the documentation indicated in the SECOND Base above.

Each exam will be applied at the venues 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 the respective certificate, the venue for the application of the exam will be indicated, according to the federative entity selected by the interested person and the 1,500 available places.

FOURTH.- The schedule for each certification process during the year 2019, will be as follows:

Stage	Date or Deadline
First Exam
Registration and submission of application for the certificate	From April 1 to May 17, 2019
Verification of documentation	July 6, 2019
Application of the exam	July 6, 2019
Notification of exam results	August 2, 2019
Second Exam
Registration and submission of application for the certificate	From August 12 to September 20, 2019
Verification of documentation	November 9, 2019
Application of the exam	November 9, 2019
Notification of exam results	December 9, 2019

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 Resources of Illicit Origin A and B, of the Vice Presidency of Supervision of Preventive Processes.

Respectfully,

Mexico City, September 7, 2018. - The President of the National Banking and Securities Commission, José Bernardo González Rosas.- Rubric.

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