Call for Certification in Prevention of Money Laundering and Terrorist Financing

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DOF: 11/12/2015

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

At the margin, a seal with the National Coat of Arms, 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 Resources of Illicit Origin and Financing of Terrorism", published in the Official Journal of the Federation on October 2, 2014 and modified by resolution published in said dissemination organ on March 13, 2015, issues the following:

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

This call regarding the certification process in the matter of prevention of operations with resources of illicit origin and financing of terrorism is directed to:

I. Compliance officers, independent external auditors and other professionals who provide their services in savings and loan cooperative societies, popular financial societies, community financial societies and rural financial integration organisms, for the verification of compliance with financial laws and the 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 assist the National Banking and Securities Commission when it hires them, for the verification of compliance with financial laws and the 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 Resources of Illicit Origin and Financing of Terrorism", published in the Official Journal of the Federation on October 2, 2014 and modified by resolution published in said dissemination organ on March 13, 2015.

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 Resources of Illicit Origin and Financing of Terrorism", published in the Official Journal of the Federation on October 2, 2014 and modified by resolution published in said dissemination organ on March 13, 2015.

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 "Instructions for Requesting the Issuance of the Certificate in the Matter of Prevention of Operations with Resources of Illicit Origin and Financing of Terrorism", 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 http://www.cnbv.gob.mx .

In said Instructions, 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 same medium used for the sending of information referred to in this Base.

THIRD.- The exam will be held on Saturday, April 23, 2016, at 9:00 a.m., with a duration of four hours.

Interested persons must present themselves at 7:00 a.m. for the verification of the documentation indicated in the SECOND base above.

The exam will be administered in the Federal District; Guadalajara, Jalisco; Monterrey, Nuevo León; Hermosillo, Sonora, and Mérida, Yucatán.

In the acceptance of the respective certificate application, the place of application of the exam will be indicated, according to the selection of headquarters by the interested person and the available places distributed by headquarters as follows:

HEADQUARTERS	PARTICIPANTS
Federal District	401
Jalisco	80
Nuevo León	80
Sonora	80
Yucatán	120

FOURTH.- The schedule of the certification process will be as follows:

STAGE	DATE OR DEADLINE
Registration and sending of application for obtaining the certificate	From January 2 to January 31, 2016
Verification of documentation	April 23, 2016
Application of the exam	April 23, 2016
Notification of exam results	May 23, 2016

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 formulate regarding the process, the email address prevencion.lavado@cnbv.gob.mx is available.

Cases not foreseen in this call will be resolved by the National Banking and Securities Commission, through the General Directions of Prevention of Operations with Resources of Illicit Origin A and B, of the Vice Presidency of Supervision of Preventive Processes.

Respectfully,

Mexico, D.F., December 3, 2015. - The President of the National Banking and Securities Commission, Jaime González Aguadé.- Signature.

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