Call for Certification in the Prevention of Operations with Illicitly Sourced Funds, Addressed to Natural Persons Who Carry Out Vulnerable Activities and Those Responsible for Compliance with Obligations Established in the Federal Law for the Prevention and Identification of Operations with Illicitly Sourced Funds

DOF: 08/26/2022

CALL FOR CERTIFICATION in the prevention of operations with illicitly sourced funds, addressed to natural persons who carry out Vulnerable Activities and to those responsible for compliance with the obligations esta

On the margin a seal with the National Coat of Arms, which reads: United Mexican States.- HACIENDA.- Secretariat of Finance and Public Credit.- Financial Intelligence Unit.- Mexico.

The Financial Intelligence Unit, based on the provisions of article 34 Bis of the General Rules referred to in the Federal Law for the Prevention and Identification of Operations with Illicitly Sourced Funds, issues the following:

CALL FOR CERTIFICATION IN THE PREVENTION OF OPERATIONS WITH ILLICITLY SOURCED FUNDS, ADDRESSED TO NATURAL PERSONS WHO CARRY OUT VULNERABLE ACTIVITIES AND THOSE RESPONSIBLE FOR COMPLIANCE WITH THE OBLIGATIONS ESTABLISHED IN THE FEDERAL LAW FOR THE PREVENTION AND IDENTIFICATION OF OPERATIONS WITH ILLICITLY SOURCED FUNDS

BASES

I. General Aspects

FIRST. The purpose of this call is to establish the requirements and the applicable procedure for the Financial Intelligence Unit of the Secretariat of Finance and Public Credit to certify natural persons who carry out Vulnerable Activities in terms of article 17 of the Federal Law for the Prevention and Identification of Operations with Illicitly Sourced Funds and those responsible for compliance in terms of article 20 of the same law, regarding compliance with said law, its Regulations, and its General Rules.

SECOND. For the purposes of these bases, the following shall be understood in singular or plural as:

a) Certificate, the document issued by the Unit, which certifies the certification in terms of article 34 Bis of the General Rules referred to in the Federal Law for the Prevention and Identification of Operations with Illicitly Sourced Funds.

b) Unit, the Financial Intelligence Unit of the Secretariat of Finance and Public Credit.

c) Evaluating Organization, the external organization that designs, develops, applies, and grades the evaluation; it also receives the evaluation recovery fee.

d) Instruction Manual, the document that the Unit makes known through its Internet portal, which details the process for obtaining the Certificate, as well as the specifications required to carry out its procedure.

e) Law, the Federal Law for the Prevention and Identification of Operations with Illicitly Sourced Funds.

f) Internet Portal, the electronic page www.gob.mx/uif

g) Platform, the computer site through which the application process for obtaining the Certificate is carried out.

h) Rules, the General Rules referred to in the Law.

i) Participating Person, the natural person who intends to obtain the Certificate in terms of what is provided in these bases.

THIRD. This call is addressed to:

a) Natural persons who carry out Vulnerable Activities referred to in article 17 of the Law.

b) Responsible compliance officers who have accepted their designation in accordance with article 20 of the Law.

c) Those persons who comply with the provisions of this call.

FOURTH. Persons interested in obtaining the Certificate shall be subject to the provisions of the bases of this call.

FIFTH. The interpretation of these bases and the handling of inquiries related to their application shall correspond to the Unit.

SIXTH. Notifications related to the cases indicated in these bases shall be made by the Unit through the Platform and the email address that the Participating Person has indicated for such purposes in the corresponding application, in terms of what is provided in this call, in the Instruction Manual, and in the other documents related to this call, which are published by the Unit through the Internet Portal.

Once the Unit makes its communications electronically, the corresponding notification shall be deemed made and a record with the date and time of the respective sending shall be generated, considering said record as an acknowledgment of receipt for all legal purposes.

Notifications shall take effect on the business day following that on which the communication is made.

II. Certificate Obtaining Process

SEVENTH. The Certificate obtaining process shall consist, at least, of the following stages:

a) Publication of the call.

b) Payment, registration, and submission of application by the Participating Person.

c) Verification of documentation.

d) Evaluation.

e) Issuance of the Certificate to accredited persons.

EIGHTH. The Certificate obtaining process shall begin, in accordance with article 34 Bis of the Rules, with the publication of this call in the Official Gazette of the Federation.

NINTH. Once the Participating Person registers, it shall be considered that they accept the terms and conditions established by the Unit provided in this call, in the Instruction Manual, and in the other documents related to this call issued by the Unit, as well as the result that may arise from their evaluation. At the same act, they will be provided with a folio number that will serve to track the status of the Certificate obtaining process.

TENTH. Participating persons must submit their application by sending to the Unit the information and documentation provided in the Requirements section of this call, as well as that indicated in the Instruction Manual for requesting the Certificate, which the Unit publishes through its Internet Portal.

All files shall be attached electronically in accordance with the specifications provided in the Instruction Manual.

In said Instruction Manual, the detailed procedure for submitting applications, as well as the other terms and conditions of the Certificate obtaining process, may be consulted.

The Unit shall notify the acceptance of the application through the Platform and the email address that, according to the aforementioned Instruction Manual, has been provided by the Participating Person.

ELEVENTH. For obtaining the Certificate, in terms of this call, the evaluation shall be carried out on November 26, 2022, at the times and locations that are notified, according to their availability, established by the Unit.

The Participating Person may only choose one location to present their evaluation.

TWELFTH. The Certificate obtaining process corresponding to this call shall be carried out according to the following schedule:

Stage	Date or Period
Registration and submission of Certificate application	From August 29 to October 7, 2022
Evaluation application	November 26, 2022
Notification of evaluation results	December 19, 2022

THIRTEENTH. The following are impediments for the Participating Person to obtain the Certificate:

a) Having been sentenced for any patrimonial crime.

b) Being disqualified from holding an employment, position, or commission in the federal, state, or municipal public service, or in the Mexican financial system or that of any other country.

c) Being on official lists issued by Mexican authorities, international organizations, intergovernmental groups, or authorities of other countries, of persons linked or probably linked to operations with illicitly sourced funds, terrorism or its financing, or other illegal activities.

FOURTEENTH. The Unit may interrupt and, where appropriate, unilaterally terminate the Certificate obtaining process when:

a) The Participating Person is on official lists issued by Mexican authorities, international organizations, intergovernmental groups, or authorities of other countries, of persons linked or probably linked to operations with illicitly sourced funds, terrorism, its financing, or other illegal activities.

b) The Participating Person has provided false, altered, or information or documentation that does not match its original source, without prejudice to any criminal liabilities that may arise.

c) Any other cause related to the impediments established in this call and/or directly or indirectly related to the fulfillment of the Unit's powers arises, based on the information it has, obtains, or is provided by public, national, foreign, or international authorities with competence in the prevention and combat of money laundering and/or terrorist financing.

When the Unit interrupts the Certificate obtaining process, it shall require the Participating Person to state in writing what is in their interest and provide information or documentation that disproves the facts attributed to them, within a period of three business days counted from the business day following the date on which the respective notification takes effect. In the event that the Participating Person does not comply with said requirement, their application shall be deemed not submitted.

Once the information or documentation provided by the Participating Person has been analyzed, and if the facts that gave rise to the interruption are disproved, the Unit shall resume the Certificate obtaining process; otherwise, it shall terminate said process for the Participating Person.

The Unit shall notify the Participating Person of the decision within a period not exceeding fifteen business days counted from the business day following the date on which the Participating Person submits to the Unit the written statement referred to in the second paragraph of this base.

III. Requirements and Documentation

FIFTEENTH. Participating persons must provide and attach the following information and documentation to the Certificate application:

a) Certificate application form addressed to the Unit; downloadable from the Platform.

b) Acceptance form for receiving electronic notifications related to the Certificate obtaining process; downloadable from the Platform.

c) Letter under oath stating that they are not in the situations referred to in base THIRTEENTH, subsections a) and b) of this call, and that the information and documentation provided in accordance with this base is truthful; downloadable form from the Platform.

d) Valid official identification with photograph issued by a Mexican authority, which may be the voter's ID with photograph or the passport. In the case of foreign natural persons, it will be necessary to present the passport and the document issued by the National Migration Institute that accredits their migratory status and legal stay in national territory.

e) Updated Unique Population Registry Code, issued by the National Population Registry.

f) Proof of the highest level of studies, which must be at least high school or its equivalent.

g) Curricular information.

h) Proof of payment for the evaluation concept, issued by the banking institution, which, once your application has been accepted, cannot be used again.

The evaluation recovery fee will be $6,500.00 (six thousand five hundred pesos 00/100 M.N.) and will be paid directly to the Evaluating Organization, based on the procedure established in the Instruction Manual.

Any matter related to the payment of the evaluation recovery fee shall be resolved by the Evaluating Organization.

i) Others indicated in the Instruction Manual.

The Unit may carry out the necessary procedures to verify the veracity of the information and/or documentation provided by the Participating Person.

SIXTEENTH. The Unit shall have a period of fifteen business days, starting from the business day following the end of the Registration and submission of Certificate application stage, to notify whether the application was accepted or rejected, except for the case provided in base FOURTEENTH of this call.

SEVENTEENTH. In the event that the Participating Person has omitted information or documentation, or if errors, erasures, strike-throughs, or illegibility are present, the Unit, for a single occasion, shall request them to remedy the deficiency or omission in question. This is without prejudice to the Unit being able to require, summon, or contact the Participating Person to clarify doubts regarding the information or documentation attached to the application.

The Participating Person shall have a period of three business days counted from the business day following the date on which the notification of the request referred to in the previous paragraph takes effect, to remedy the matter. Once the requirement has been remedied, the period referred to in base SIXTEENTH shall restart.

In the event that the Participating Person does not remedy the deficiencies or omissions in the information and/or documentation, their application shall be deemed not submitted, and they may submit a new one in the next valid call.

EIGHTEENTH. On the day of the evaluation, the Unit shall verify the official identification, as well as any other documentation presented by the Participating Person indicated in base FIFTEENTH, which has been sent electronically in accordance with the Instruction Manual.

IV. Evaluation Procedure

NINETEENTH. The evaluation shall generally comprise the following areas:

a) Generalities of the anti-money laundering and terrorist financing prevention regime.

b) Vulnerable Activities and their obligations.

c) Legal responsibility in the administrative and criminal scope applicable to Vulnerable Activities.

TWENTIETH. The Unit shall make known, through its Internet Portal, the syllabus and study guide for the evaluation, corresponding to this call.

TWENTY-FIRST. The Participating Person, in order to present the evaluation, must exhibit to the Evaluating Organization the valid official identification that they attached to their application, in terms of subsection d) of base FIFTEENTH of this call.

In the event that the Participating Person does not appear for the evaluation on the scheduled date, time, and location, it shall be understood that they withdraw their application for obtaining the Certificate and the payment made for the evaluation concept will not be reimbursed.

TWENTY-SECOND. The Unit shall notify the Participating Person, in accordance with base SIXTH, the result of their evaluation on the date established in base TWELFTH.

The result referred to in the previous paragraph shall be "Approved" or "Not Approved" and in no case shall it contain grades, scores, or percentages.

V. Issuance of the Certificate

TWENTY-THIRD. In the event that the evaluation result is "Approved", the Unit shall issue the Certificate to the Participating Person within thirty business days following its notification.

TWENTY-FOURTH. The Certificate shall be issued electronically, shall contain the date of issue, as well as its validity, and shall be issued under the security and inviolability standards that the Unit itself deems appropriate.

The validity of the Certificate shall be five years and shall begin to be counted from its date of issue.

VI. Revocation of Certification

TWENTY-FIFTH. The Unit may revoke the Certificate of any person who falls into any of the following situations:

a) The occurrence or detection of any of the situations referred to in base THIRTEENTH of this call.

b) The situations established in base FOURTEENTH of this call are updated.

TWENTY-SIXTH. In the event that the Unit considers that a person with a valid Certificate has updated any of the grounds for its revocation, it shall notify the interested person so that, within a period of fifteen business days counted from the business day following the date on which the notification takes effect, they may state what is in their right.

The Unit shall issue its definitive decision on the revocation within thirty business days following the expiration of the period referred to in the previous paragraph.

VII. Final Guidelines

TWENTY-SEVENTH. The Unit may carry out the Certificate obtaining process with the support of public or private, national or foreign legal entities.

TWENTY-EIGHTH. The Unit may issue individual and direct invitations to certification processes.

TWENTY-NINTH. The Unit may issue honorary Certificates to those public servants who have collaborated in the evaluation preparation process, when they request it, provided they are not in any of the situations provided in bases THIRTEENTH and FOURTEENTH.

THIRTIETH. Any modification to the locations, dates, or deadlines referred to in bases ELEVENTH and TWELFTH of this call shall be made known to registered participating persons through the Unit's Internet Portal.

In the event that the Unit decides not to carry out, postpone, or reschedule the evaluation mentioned in base SEVENTH of this call, the corresponding notice shall be published through its Internet Portal.

THIRTY-FIRST. In order to address doubts that participating persons may have regarding the Certificate obtaining process, the email address: certificacion_uif@hacienda.gob.mx is available.

THIRTY-SECOND. Any case not provided for in this call shall be resolved by the Unit.

THIRTY-THIRD. This call supersedes the call for certification in the prevention of operations with illicitly sourced funds, addressed to natural persons who carry out Vulnerable Activities and to those responsible for compliance with the obligations established in the Federal Law for the Prevention and Identification of Operations with Illicitly Sourced Funds, issued in 2021.

Sincerely

Mexico City, August 26, 2022.- The Head of the Financial Intelligence Unit, Lic. Pablo Gómez Álvarez.- Signature.

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