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

DOF: 25/11/2019

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.- GOVERNMENT OF MEXICO.-

FINANCE.- Ministry of Finance 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; 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, hereinafter the AML/CFT Certificate, is directed 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 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 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 the Certification Provisions, published in the Official Gazette of the Federation on November 1, 2019, and

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 applicable process to obtain said certificate.

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 issuance of the certificate in matters of prevention of operations with resources of illicit origin and terrorism financing" which the National Banking and Securities 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 said 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 that, according to said instructions, has been provided by the participant.

THIRD.- During the year 2020, for the obtaining or renewal of the AML/CFT Certificate, two evaluations will be carried out with a quota of up to 1,700 places each, which will take place on the following dates: July 4 and November 7, 2020. Both will start at 9:00 a.m., with a duration of four hours each.

Participants must present themselves at 7:00 a.m., at the place and date that corresponds to them, for the checking of the documentation referred to in the first paragraph of the PREVIOUS SECOND BASE.

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 the year 2020 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 6 to May 15, 2020
Checking of documentation	July 4, 2020
Application of the evaluation	July 4, 2020
Notification of the evaluation results	July 31, 2020
Second Evaluation
Registration and submission of application for obtaining or renewal of the AML/CFT Certificate	From August 10 to September 18, 2020
Checking of documentation	November 7, 2020
Application of the evaluation	November 7, 2020
Notification of the evaluation results	December 7, 2020

FIFTH.- The result of 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 in relation to the process of obtaining or renewing the AML/CFT Certificate, the following email is available: certificacionpld@cnbv.gob.mx

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.

Respectfully,

Mexico City, November 14, 2019. - The President of the National Banking and Securities Commission, Adalberto Palma Gómez.- Signature.

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