General Provisions Applicable to Entities and Persons Referenced in Articles 3 and 4 of the Banking and Securities Commission Law, and to the General Public, Regarding the Delivery and Receipt of Documents at the National Banking and Securities Commission — CNBV — MX

(1) GENERAL PROVISIONS APPLICABLE TO THE ENTITIES AND PERSONS REFERENCED IN ARTICLES 3, SECTIONS IV, V, VI, VII AND VIII AND 4, SECTION XXX, OF THE LAW OF THE NATIONAL BANKING AND SECURITIES COMMISSION, AS WELL AS TO THE GENERAL PUBLIC, REGARDING THE DELIVERY AND RECEIPT OF DOCUMENTS AT THE NATIONAL BANKING AND SECURITIES COMMISSION

Published in the Official Gazette of the Federation on October 5, 2011, updated with reforms published in the same Gazette on December 22, 2015 and April 12, 2018.

The National Banking and Securities Commission, based on the provisions of Articles 5 Bis 1, second paragraph, 97, 110 Bis 2 and 110 Bis 3 of the Credit Institutions Law; 350, 399, 400 and 419, second paragraph of the Securities Market Law; 5 Bis 1, second paragraph and 51-A of the General Law of Organizations and Auxiliary Credit Activities; 94, second paragraph of the Investment Company Law; 5 Bis, second paragraph and 32 of the Law to Regulate Financial Groupings; 9, second paragraph, 78, 133 and 134 of the Credit Unions Law; 17, second paragraph of the Law to Regulate Credit Information Societies; 49 of the Organic Law of the Rural Financing Institution; 190 of the Law of the Institute of Security and Social Services for State Workers; 66 of the Law of the National Housing Fund for Workers; 28, section III, subsection a), 70, 73, second paragraph, 120 and 121 of the Law to Regulate the Activities of Savings and Loan Cooperative Societies; 122 Bis, 124 Bis, second paragraph, 146 and 147 of the Popular Savings and Credit Law and 4, sections XXXVI and XXXVIII, 16, section I and 19 of the Law of the National Banking and Securities Commission, and

CONSIDERING

That as a result of the issuance of the Internal Regulations of the National Banking and Securities Commission, published in the Official Gazette of the Federation on August 12, 2009, the administrative restructuring of the Commission has been promoted, in order to have transparent administrative processes for the benefit of the financial entities subject to its supervision, as well as the general public;

That in compliance with the provisions of the "Agreement establishing the provisions on Material Resources and General Services" published in the Official Gazette of the Federation on July 16, 2010 and its modifications, it is necessary to integrate a parts office so that through this channel this Decentralized Body receives the corresponding documentation physically from the entities and persons referred to in sections IV, V and VI of article 3 of the Law of the National Banking and Securities Commission and the general public, with the objective of carrying out adequate follow-up and control, and

That it is appropriate to establish a specific place and schedule for the reception of the aforementioned documentation for said channel, optimize the processing of the received documentation and have better registration and management of it, and

That it is deemed necessary to reiterate the notification methods provided by the relevant laws, it has resolved to issue the following:

Article 1.- All information, notices, requests, appeals and other documentation that must be sent or presented to the various administrative units of this Commission, in terms of the laws relating to the financial system and the general provisions issued by this Commission, as well as the "Agreement establishing the provisions on Material Resources and General Services", published in the Official Gazette of the Federation on July 16, 2010 and its modifications, whose presentation is not established to be carried out through the Interinstitutional Information Transfer System, the Information Transfer System on Securities, the Information Transfer System on Securities-2 or other electronic means, must be presented at the following address:

National Banking and Securities Commission
Parts Office

Single window for receiving and delivering documentation Av. Insurgentes Sur No. 1971, Plaza Inn, Fuente Level, Local 163, Col. Guadalupe Inn, Alvaro Obregón Delegation C.P. 01020 Mexico City, D.F.

(3) In all cases, the documents must contain the minimum identification data of the sender and recipient.

(4) Third paragraph. - Repealed

Documentation delivered by interested parties or their representatives in a manner different from that mentioned in the first paragraph of this article will be considered as not presented for all purposes.

Article 2.- The schedule of the Single window for receiving and delivering documentation of the parts office will be from 9:00 to 15:00 hours, on business days.

Article 3.- The notifications that, according to the applicable laws, must be made personally in the offices of this Commission, will be carried out at the address indicated in Article 1 of these provisions, and in the terms established in such regulations.

TRANSITORY PROVISIONS

FIRST.- These Provisions will enter into force the day following their publication in the Official Gazette of the Federation.

SECOND.- Upon the entry into force of these Provisions, the "General Provisions applicable to the entities and persons referred to in sections IV, V and VI of Article 3 of the Law of the National Banking and Securities Commission and to the general public, in the delivery and receipt of documents at the National Banking and Securities Commission" published in the Official Gazette of the Federation on September 14, 2011 will be repealed.

TRANSITORY PROVISION
(Resolution modifying the general provisions applicable to the entities and persons referenced in articles 3, sections IV, V and VI, and 4, section XXX, of the Law of the National Banking and Securities Commission, as well as to the general public, in the delivery and receipt of documents at the National Banking and Securities Commission, published in the Official Gazette of the Federation on December 22, 2015)

SINGLE.- This Resolution will enter into force the day following its publication in the Official Gazette of the Federation.

CONSIDERING
(Published on December 22, 2015)

That in line with the commitment of the Federal Government to establish the universal digital inclusion policy in all entities and dependencies of the Federal Public Administration, it is necessary to require in all procedures carried out before the National Banking and Securities Commission, the Unique Population Registration Key of those who promote such procedures, which will ultimately serve as an access key to all entities and dependencies of the Federal Public Administration, therefore it has resolved to issue the following:

CONSIDERING
(Published on April 12, 2018)

That in order to simplify administration, the presentation of the Unique Population Registration Key of those who promote them is eliminated as a requirement for all procedures carried out before the National Banking and Securities Commission, therefore it has resolved to issue the following:

REFERENCES

1) Reformed by Resolution published in the Official Gazette of the Federation on December 22, 2015.
2) Added by Resolution published in the Official Gazette of the Federation on December 22, 2015.
3) Reformed by Resolution published in the Official Gazette of the Federation on April 12, 2018.
4) Repealed by Resolution published in the Official Gazette of the Federation on April 12, 2018.

Lineage: No known changes