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

DOF: 25/11/2022

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 what is established in 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 Federations 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 matters of AML/CFT), is directed to:

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 purpose of verifying the 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 this 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 Journal of the Federation on November 1 of 2019.

IV.

Those persons interested in renewing their AML/CFT Certificate.

PARTICIPATION BASES

FIRST.- Persons interested in obtaining or renewing the AML/CFT Certificate shall 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 "Instruction to request the obtaining or renewal of the certificate in matters of prevention of operations with resources of illicit origin and terrorism financing" (Instruction), which the own Commission 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 Instruction, 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 that, according to the Instruction, has been provided by the participant.

THIRD.- During 2023, 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 one, which will be held on the following dates: July 1 and October 28, 2023. 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 so that, if sanitary measures allow, the checking of the documentation referred to in the first paragraph of the SECOND Base above is carried out.

Each evaluation will be applied in the headquarters determined by the National Banking and Securities Commission in the following federal 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 federal 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 2023, will be the following:

Stage

Date or deadline

First Evaluation

Registration and submission of application for obtaining or renewal of the AML/CFT Certificate

From April 3 to May 11, 2023

Checking of the documentation

July 1, 2023

Application of the evaluation

July 1, 2023

Notification of the evaluation results

July 26, 2023

Second Evaluation

Registration and submission of application for obtaining or renewal of the AML/CFT Certificate

From August 1 to September 8,
2023

Checking of the documentation

October 28, 2023

Application of the evaluation

October 28, 2023

Notification of the evaluation results

November 22, 2023

FIFTH.- The result that falls on the evaluation will be "Approved" or "Not Approved" 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 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 Internet portal of the National Banking and Securities Commission and in the email registered by the participant in the application for obtaining or renewing the AML/CFT Certificate.

EIGHTH.- AML/CFT Certificates that expire before July 26, 2023, will remain valid until the notification of the results of the first evaluation of the 2023 exercise established in this call.

AML/CFT Certificates that expire from July 27 to November 21 of 2023, will remain valid until the notification of the results of the second evaluation of the 2023 exercise established in this call.

What is stated in the first and second paragraphs of this base will be applicable only to those participants who submit their application for renewal of the AML/CFT Certificate on the dates provided for in the FOURTH Base of this call, provided that said application has been accepted.

In case the National Banking and Securities Commission decides 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 remain valid until the notification of the results of the evaluation to which they have registered.

Sincerely

Mexico City, November 17, 2022. - President of the National Banking and Securities Commission, Dr. Jesús de la Fuente Rodríguez.- Rubric.

(R.- 529511 )

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