CIRCULAR CONSAR 19-19, Modifications and Additions to the General Rules for Information Submission by Retirement Fund Administrators and Related Entities

DOF: 06/09/2017

CIRCULAR CONSAR 19-19, Modifications and Additions to the General Rules to which Retirement Fund Administrators, Specialized Investment Societies for Retirement Funds, Receiving Entities, and Operators of the National SAR Database must submit information to the National Commission for the Retirement Savings System.

A seal with the National Coat of Arms is placed at the margin, which reads: United Mexican States.- Ministry of Finance and Public Credit.- National Commission for the Retirement Savings System.

CIRCULAR CONSAR 19-19

MODIFICATIONS AND ADDITIONS TO THE GENERAL RULES TO WHICH THE INFORMATION THAT RETIREMENT FUND ADMINISTRATORS, SPECIALIZED INVESTMENT SOCIETIES FOR RETIREMENT FUNDS, RECEIVING ENTITIES, AND OPERATORS OF THE NATIONAL SAR DATABASE MUST SUBMIT TO THE NATIONAL COMMISSION FOR THE RETIREMENT SAVINGS SYSTEM MUST ADHERE.

The President of the National Commission for the Retirement Savings System, based on the provisions of articles 5 fractions I, II, VII and XVI, 12 fractions I, VIII and XVI, 88, 89, 90 fractions II, 91 and 113 of the Law of the Retirement Savings Systems; 106 of the Law of the Institute for Social Security and Services for State Workers; 140 of the Regulations of the Law of the Retirement Savings Systems; 1, 2 fraction III and 8 first paragraph of the Internal Regulations of the National Commission for the Retirement Savings System, and

CONSIDERING

That Circular 19-8, "General Rules to which the information that Retirement Fund Administrators, Specialized Investment Societies for Retirement Funds, Receiving Entities, and Operators of the National SAR Database must submit to the National Commission for the Retirement Savings System" must adhere, modified and added, aims to establish the procedure and requirements that Retirement Fund Administrators, Specialized Investment Societies for Retirement Funds, Receiving Entities, and Operators of the National SAR Database must adhere to regarding the information they must provide to the Commission, so that it has the necessary elements to supervise their proper functioning;

That in matters of Gender Equity, on August 7, 2012, the Committee for the Elimination of Discrimination against Women, based on the Convention on the Elimination of All Forms of Discrimination against Women, recommended to the Mexican State in observation 29 of the "Final Observations of the Committee for the Elimination of Discrimination against Women" that measures be adopted to guarantee equality of opportunities for women and men in the labor market;

That in light of the above, as a precautionary measure that incentivizes the realization of equality between men and women in the workplace, the obligation of Retirement Fund Administrators to reveal the gender composition of the members of the Board of Directors, the General Director, the officials of the two immediate subsequent levels and their auditors, the integration of the Investment and Risk Committees, as well as the Regulatory Comptroller, is included;

That in terms of the Law of the Retirement Savings Systems, Retirement Fund Administrators must adhere to the catalog authorized by this Commission for this purpose, as well as to the criteria and procedures established in the general provisions and in the annexes that integrate them, in matters of accounting, which are periodically updated;

That in this sense, this Commission in the "General Provisions on the registration of accounting, preparation and presentation of financial statements to which Retirement Fund Administrators, and Specialized Investment Societies for Retirement Funds must adhere" will foresee sufficient catalogs in accounting matters for Retirement Fund Administrators, so it is necessary to update annex 60 of the aforementioned Rules in order to cease providing for the obligation of Administrators to adhere to the General Catalog, and

That complying with the "Agreement that establishes the guidelines that must be observed by the dependencies and decentralized organisms of the Federal Public Administration, regarding the issuance of general administrative acts to which article 69-H of the Federal Administrative Procedure Law applies", due to the issuance of this Circular, rule Tenth is derogated and the obligation of Administrators to adhere to the General Catalog provided for in annex 60 of Circular 19-8, "General Rules to which the information that Retirement Fund Administrators, Specialized Investment Societies for Retirement Funds, Receiving Entities, and Operators of the National SAR Database must submit to the National Commission for the Retirement Savings System" must adhere, modified and added, has deemed it appropriate to issue the following:

FIRST.- Fraction XVI of rule Seventh is ADDED; and fraction IV of rule Seventh, and rule Tenth of Circular CONSAR 19-8, "General Rules to which the information that Retirement Fund Administrators, Specialized Investment Societies for Retirement Funds, Receiving Entities, and Operators of the National SAR Database must submit to the National Commission for the Retirement Savings System" must adhere, modified and added by Circles CONSAR 19-9, CONSAR 19-10, CONSAR 19-11, CONSAR 19-12, CONSAR 19-13, CONSAR 19-14, CONSAR 19-15, CONSAR 19-16, CONSAR 19-17, and CONSAR 19-18 published in the Official Journal of the Federation on August 18, 2008, January 22, 2010, July 2, 2010, August 15, 2011, July 6, 2012, October 16, 2012, June 7, 2013, September 27, 2013, September 9, 2014, August 17, 2015, and June 6, 2016 respectively, are DEROGATED, to remain in the following terms:

"SEVENTH.- The information that Administrators must provide to the Commission consists of:

I to III. ...

IV.

Derogated.

V to XV. ...

XVI.

Information on the gender composition in absolute numbers of the total persons

members of the Board of Directors, the General Director, the officials of the

two immediate subsequent levels and their auditors, the integration of the

Investment and Risk Committees, as well as the Regulatory Comptroller, in accordance with the format

established as annex 120 of these general rules.

...

TENTH.- Derogated. "

SECOND.- Annex 60 is MODIFIED, Annex 120 is ADDED, and Annex 63 of Circular CONSAR 19-8, "General Rules to which the information that Retirement Fund Administrators, Specialized Investment Societies for Retirement Funds, Receiving Entities, and Operators of the National SAR Database must submit to the National Commission for the Retirement Savings System" must adhere, modified and added by Circles CONSAR 19-9, CONSAR 19-10, CONSAR 19-11, CONSAR 19-12, CONSAR 19-13, CONSAR 19-14, CONSAR 19-15, CONSAR 19-16, CONSAR 19-17, and CONSAR 19-18 published in the Official Journal of the Federation on August 18, 2008, January 22, 2010, July 2, 2010, August 15, 2011, July 6, 2012, October 16, 2012, June 7, 2013, September 27, 2013, September 9, 2014, August 17, 2015, and June 6, 2016 respectively, are DEROGATED, to remain in the terms of Annexes 60 and 120 of these modifications and additions.

TRANSITORY

SOLELY.- These modifications and additions will enter into force on the next business day following their publication in the Official Journal of the Federation, except for what is provided in Annex 60, which will enter into force once the General Provisions on the registration of accounting, preparation and presentation of financial statements to which Retirement Fund Administrators and Specialized Investment Societies for Retirement Funds must adhere enter into force.

With the entry into force of these modifications, all those provisions that contravene these are abrogated.

Mexico City, August 28, 2017.- The President of the National Commission for the Retirement Savings System, Carlos Ramírez Fuentes.- Rubric.

ANNEX 60

FORMAT DESCRIPTION

Aggregated Type Information.- This file contains the Trial Balance of Administrators at the first and second level, with definitive figures corresponding to the last business day of the previous month.

SENDING PERIODICITY:

RECEPTION PERIOD:

Monthly

The sixth business day of each month.

HEADER

Concept

Data

Type

Length

Position

Observations

From:

To:

Record Type

Record identifier (for system control).

Constant = "000"

File Type

File identifier (for system control).

Constant= "1102".

Entity Type

Entity Type Key that reports the

Information according to the Entity Types Catalog of the General Catalog Apartado Circular

19 current, Constant = "001".

Entity

Entity Key that reports the Information

according to the Entity Catalog (AFORES) of the

General Catalog Apartado Circular 19 current. 1

Operation

Date

Date of the operation being reported 3

Record

Size

Number of characters per record. Constant =

"075". 1

Number of

Records

Number of Records contained in the file

including the header.

Blank

spaces

Empty.

DETAIL(S)

DETAIL 1: DAILY TRIAL BALANCE

Concept

Data

Type

Length

Position

Observations

From:

To:

Record Type

Record identifier (for system control).

Constant= "301".

Account Key

It is the key of the General Account according to the

Account Catalog of AFORES provided for in

accounting provisions issued by the

Commission. 1

Subaccount

Key

Key of the Subaccount according to the Catalog of

Accounts of AFORES provided for in the

accounting provisions issued by the Commission. 1

Initial Balance

14,2

Balance of the Account or Subaccount (must be the balance

final of the previous day). 2

Charges

14,2

Charges made to the Account or Subaccount during

the day. 2

Credits

14,2

Credits made to the Account or Subaccount

during the day. 2

Final Balance

14,2

Closing balance of Account or Subaccount at the end of the

day. 2

SPECIFIC POLICIES OF THE

PROCESS

Policies to follow in the transmission of information

The information that will be transmitted to the Commission based on this format, will be subject to the following

policies:

On the sixth business day of each month, AFORES must send the trial balance

corresponding to the last business day of the previous month.

II.

For each record of the detail: Final balance must be equal to the initial balance plus the sum of all

charges minus the sum of all credits.

III.

All amounts must come with the appropriate sign depending on the nature of the account:

Debit Account: Debit Balance (+); Credit Balance (-)

Credit Account: Debit Balance (-); Credit Balance (+)

IV.

The name that the file must present when transmitted to the Commission is the following;

No.

DATA TYPE

DESCRIPTION

8 Digits

Numeric

Where the entity must include the Sending Date on which it is

transmitting the file in format "YYYYMMDD".

2 Digits

Alphanumeric

These will represent the abbreviation of the Entity Type that transmits,

According to the Entity Type Catalog annexed to the document,

Constant = "AF".

3 Digits

Numeric

Which will be according to the Afore Entity Key reported

according to the entity catalog annexed to the document.

3 Digits

Numeric

These establish the Entity Subtype Key that is reported (*Only

applies to SIEFORES family, for other entities it will

Constant = "000")

4 Digits

Numeric

To define the type of file being transmitted, where each

format already has a stipulated number, for this case it will be

Constant =

"1102".

NOTE: The separation between step 1, 2, 3 and 4 will be with an underscore, after step 4 it will be

via a decimal point.

To exemplify it below is the case where Afore XXI-Banorte were

sending its information, the name of the file must be in the following way:

It should be mentioned that once having the file with this name, it must be encrypted with the

GNUpg program, which will rename it with the following name:

20120910_AF_530_000.1102.gpg

With this name is with which the file must be transmitted to CONSAR. For the recovery

of the acknowledgments, the participating entities must take their "Acknowledgment" with the same name with which

they renamed it before encrypting it, they will only have to add the character "A" before the date,

example:

A20120910_AF_530_000.1102

NOTE:

The .gpg extension will not be taken into account in the recovery of the acknowledgment, as shown in the

example, nor will the acknowledgment come encrypted.

The sending routes to CONSAR for production will be:

ACTION TYPE

ROUTE

Normal Sending

export/home/rec/CONTA/RECEPCION

Sending by

Retransmission

export/home/rec/CONTA/RETRANSMISION

Recovery of

Acknowledgment

export/home/rec/CONTA/TRANSMISION

The sending route to CONSAR for tests will be:

ACTION TYPE

ROUTE

Test Sending

export/home/rec/CONTA/PRUEBAS/RECEPCION

Recovery of Test

Acknowledgment

export/home/rec/ CONTA /PRUEBAS/TRANSMISION

GENERAL VALIDATIONS

OF THE PROCESS

Validations for data format

General notes for the validation of data format in files.

1 Numeric integer data (quantities or numeric keys). Must be right-justified; if the length

of the real data is less than specified, empty spaces will be filled with zeros.

2 Numeric data with decimal (monetary quantities). Must be right-justified; if the length

of the real data is less than specified, empty spaces will be filled with zeros. The sign of

pesos, commas and decimal points are omitted. If the amount is negative the sign will occupy the 1st position of the

left.

Dates. The date format must be 8 numeric characters = "YYYYMMDD" where:

DD = day

MM = month

YYYY = year

Period. The period format (date range) must be = "YYYYMMDDYYYYMMDD" where:

DD = day

MM = month

YYYY = year

The first block of 8 numeric characters represents the start date of the period and the second the end date

of the period.

5 Alphabetic data. Must be left-justified, with uppercase without accents; if the length of the data

real is less than specified, empty spaces will be filled with blanks or spaces; in the case of

there is an ñ it must be the ASCII code "ALT+0209" of Windows. All characters must be in

uppercase.

6 Blank Spaces (Empty). Serves to fill the remaining space of the record with respect to

the

maximum length, this in order that it does not contain information outside the specified.

Annex 120

FORMAT DESCRIPTION

This file contains information on the gender composition in absolute numbers of the total persons integrating

the Board of Directors, the General Director(s), the officials of the two immediate subsequent levels and

their auditors, the integration of the Investment and Risk Committees, as well as the Regulatory Comptroller.

SENDING PERIODICITY

RECEPTION PERIOD

RECORD LENGTH

TRANSMISSION HOURS

Semi-annual

2nd business day after the

semester being reported

255

07:00 to 19:00 Hrs.

HEADER

Concept

Data

Type

Length

Position

Observations

Ent.

Dec.

From:

To:

Record Type

Record identifier = Constant "000". 1

File Type

File identifier = Constant "0405". 1

Entity Type

Entity Type Key that reports the

Information, according to the Entity Types Catalog of the General Catalog Apartado

Circular 19, Constant = "001". 1

Entity

Entity Key that reports the Information,

according to the Entity Catalog (AFORES)

annex. 1

Information

Date

Date of the information being reported. 3

Record Size

Number of characters per record=

Constant

"255". 1

Number of

Records

Number of Records contained in the file

including the header. 1

Blank Spaces

226

255

Empty. 6

DETAIL(S)

DETAIL 1: In this section, information relative to the gender of the members of your Board of

Administration, the General Director or General Director, the officials and officials of the two immediate subsequent levels

and their auditors, as well as the members of the Investment and Risk Committees and finally

the Regulatory Comptroller or Regulatory Comptroller.

Concept

Data

Type

Length

Position

Observations

Ent.

Dec.

From:

To:

Record Type

File identifier = Constant "301". 1

Area

The Area Key to which the position belongs must be reported,

according to the Area Catalog. 1

Gender

The key that identifies the gender of female or male officials must be reported

according to the gender catalog. 1

Number of

Officials

The numeric data must be reported, by

separate, of the Female Officials and of Male Officials

that are reported. 1

Blank Spaces

240

255

Empty. 6

DETAIL 2: It must indicate if the Administrator has any policy or program that promotes labor inclusion

without sex distinction in the composition of its governing bodies and among its employees.

Concept

Data

Type

Length

Position

Observations

From:

To:

Record Type

File identifier = Constant "302". 1

Has Policy/

Program

The Administrator must indicate if it has

any policy or program that promotes labor inclusion without

sex distinction in the composition of its governing bodies and among

its employees, it must assign 1 = Yes or 0 = No 1

Policy/Program

Description

251

255

If it reported having a policy/program

briefly describe this. 5

CATALOG(S)

Entity Catalog (AFORES)

Entity Type Key

Description

530

XXI Banorte

534

Profuturo

538

Principal

544

SURA

550

Inbursa

552

Banamex

556

Azteca

562

Invercap

564

Metlife

568

Coppel

578

PensionISSSTE

Area Catalog

Identifier

Description

Board of Directors

Proprietary Councilors

Independent Councilors

General Director

Officials of the two immediate subsequent levels to the General

Director

Investment Committees

Risk Committees

Regulatory Comptroller

Gender Catalog

Identifier

Description

Men

Women

GENERAL VALIDATIONS OF THE

PROCESS

Validations for data format

General notes for the validation of data format in files.

Numeric integer data (quantities or numeric keys). Must be right-justified; if the length

of the real data is less than specified, empty spaces will be filled with zeros.

2 Numeric data with decimal (monetary quantities). Must be right-justified; if the length

of the real data is less than specified, empty spaces will be filled with zeros. The sign of

pesos, commas and decimal points are omitted. If the amount is negative the sign will occupy the 1st position of the

left.

Dates. The date format must be 8 numeric characters = "YYYYMMDD" where:

DD = day

MM = month

YYYY = year

Period. The period format (date range) must be = "YYYYMMDDYYYYMMDD" where:

DD = day

MM = month

YYYY = year

The first block of 8 numeric characters represents the start date of the period and the second the end date

of the period.

Alphabetic data. Must be left-justified, with uppercase without accents; if the length of the data

real is less than specified, empty spaces will be filled with blanks or spaces; in the case of

there is an ñ it must be the ASCII code "ALT+0209" of Windows. All characters must be in

uppercase.

6 Blank Spaces (Empty). Serves to fill the remaining space of the record with respect to the

maximum length, this in order that it does not contain information outside the specified.

SPECIFIC POLICIES OF THE PROCESS

Policies to follow in the transmission of information

The information that will be transmitted to the Commission based on this format, will be subject to the following

policies:

The transmission of the sending of the information transmission formats by process will be through the

private network via Connect:Direct software or any other compatible with this.

II.

Transmissions may be made as many times as necessary to the RECEPCION directory. However, within

the 30 minutes prior to the end of the transmission schedule, retransmissions may be made to the RETRANSMISION directory,

provided that an information sending has been previously made to the RECEPCION directory, regardless of whether it has

been accepted or rejected. If the file transmission is carried out outside the specified transmission schedule and/or on a date not corresponding to its normal sending, the file must be

transmitted to the RETRANSMISION directory and will be validated with prior authorization from the areas

of Surveillance.

III.

The entities committed to transmitting the information transmission format by process will be the obligated subjects (AFORES).

IV.

The Commission will notify, in due course, the changes and additions corresponding to the catalogs.

The file must be sent encrypted and compressed using the GNUpg program.

VI.

The name that the file must present when transmitted to the Commission is as follows:

No.

DATA TYPE

DESCRIPTION

8 Digits

Numeric

Where the entity must include the Submission Date on which it is transmitting the file in "YYYYMMDD" format.

2 Digits

Alphanumeric

These will represent the abbreviation of the Type of Entity transmitting, in accordance with the Catalog of Entity Types annexed to the document.

3 Digits

Numeric

Which will be in accordance with the Entity Key (AFORES) reported in accordance with the Entities catalog annexed to the document.

4 Digits

Numeric

To define the type of file being transmitted, where each format already has a stipulated number, in this case it will be

Constant

= "0405".

NOTE: The separation between step 1, 2 and 3 will be with an underscore, after step 4 it will be via a decimal point.

To exemplify this, the following case is presented where AFORE BANAMEX is sending its information, the file name must be as follows:

It should be mentioned that once having the file with this name, it must be encrypted with the GNUpg program, which will rename it with the following name:

20180103_AF_552.XXXX.gpg

With this name is the one with which the file must be transmitted to CONSAR. For the recovery of the acknowledgments, the participating entities must take their "Acknowledgment" with the same name with which they renamed it before encrypting it, they will only have to add the character "A" before the date,

example:

A20180103_AF_552.XXXX

NOTE: The .gpg extension will not be taken into account in the recovery of the acknowledgment, as shown in the example, nor will the acknowledgment come encrypted.

VII.

The sending routes to CONSAR for production will be:

ACTION TYPE

ROUTE

Normal Send

export/home/rec/SUCUR/RECEPCION

Send by Retransmission

export/home/rec/SUCUR/RETRANSMISION

Recovery of Acknowledgment

export/home/rec/SUCUR/TRANSMISION

The sending route to CONSAR for tests will be:

ACTION TYPE

ROUTE

Test Send

export/home/rec/SUCUR/PRUEBAS/RECEPCION

Recovery of Test

Acknowledgment

export/home/rec/SUCUR/PRUEBAS/TRANSMISIO N

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