Call for Certification in Prevention of Money Laundering and Terrorist Financing

DOF: 10/17/2017

Call for Certification in the Matter of Prevention of Operations with Illicit Proceeds and Terrorist Financing

At the margin, a seal with the National Emblem, which says: 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 the Matter of Prevention of Operations with Illicit Proceeds and Terrorist Financing", 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 THE MATTER OF PREVENTION OF OPERATIONS WITH ILICIT PROCEEDS AND TERRORIST FINANCING

This call regarding the certification process in the matter of prevention of operations with illicit proceeds and terrorist financing 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 the matter 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 the matter 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, 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 the Matter of Prevention of Operations with Illicit Proceeds and Terrorist Financing", 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 the Matter of Prevention of Operations with Illicit Proceeds and Terrorist Financing", 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 the Matter of Prevention of Operations with Illicit Proceeds and Terrorist Financing", which the National Banking and Securities Commission will make known on its internet portal, within the section named "Obtaining the Certificate" at the following address https://www.gob.mx/cnbv

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 this Base.

THIRD.- During the year 2018, 2 exams will be held with a capacity of up to 1,500 places per evaluation, which will be held on the following dates: April 21 and September 22, 2018, both at 9:00 a.m., with a duration of four hours.

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

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

FOURTH.- The schedule for each certification process during the year 2018, will be as follows:

Stage	Date or Deadline
January	Registration and submission of certificate application
	From January 15 to February 28, 2018
Documentation Check	April 21, 2018
Exam Application	April 21, 2018
Notification of Exam Results	May 21, 2018
June	Registration and submission of certificate application
	From June 1 to June 30, 2018
Documentation Check	September 22, 2018
Exam Application	September 22, 2018
Notification of Exam Results	October 19, 2018

FIFTH.- The result of the evaluation will be "Approved" or "Not Approved".

SIXTH.- In order 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 Illicit Proceeds A and B, of the Vice Presidency of Supervision of Preventive Processes.

Sincerely

Mexico City, October 9, 2017.- The President of the National Banking and Securities Commission, Jaime González Aguadé.- Initialled.

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