General Provisions Applicable to the Use of the Electronic Authorization System for the Organization, Operation and Functioning of Entities

DOF: 12/04/2018

GENERAL PROVISIONS APPLICABLE TO THE USE OF THE ELECTRONIC AUTHORIZATION SYSTEM FOR THE ORGANIZATION, OPERATION AND FUNCTIONING OF ENTITIES

At the margin, a seal with the National Coat of Arms, which reads: United Mexican States.- Ministry of Finance and Public Credit.- National Banking and Securities Commission.

The National Banking and Securities Commission, based on articles 4, fractions XXXVI and XXXVIII, and 16, fraction I of the National Banking and Securities Commission Law; 110 Bis 2, 110 Bis 3, and 110 Bis 11 of the Credit Institutions Law; 399, 400, and 408 of the Securities Market Law; 87 Bis 2, 87 Bis 3, and 87 Bis 11 of the Investment Funds Law; 120, 121, and 129 of the Law to Regulate the Activities of Savings and Loan Cooperative Societies; 133, 134, and 142 of the Credit Unions Law; 146, 147, and 155 of the Popular Savings and Credit Law; 134, 135, and 142 of the Law to Regulate Financial Technology Institutions;

AND CONSIDERING

That it is convenient to streamline the authorization processes carried out before the National Banking and Securities Commission for the organization, operation, and functioning of those entities specified by the laws, as well as for savings and loan cooperative societies and community financial societies to continue carrying out their operations with a level other than basic, both to provide greater certainty to the respective applicants and to grant them administrative ease, therefore a technological tool is made available to the interested public that allows the secure and truthful exchange of information, while promoting the proper integration of files;

That the increased use of information and communication technologies improves delivery capacity and the quality of public services, generates savings in the medium and long term, and promotes transparency, participation, and collaboration with citizens, and

That in this regard, for the proper implementation of the administrative ease, the technological tool that will allow the efficient, transparent, and effective use of public resources in consonance with budgetary discipline actions in the exercise of public spending, as well as for the modernization of the Federal Public Administration favoring the use of technological means, under standards of administrative simplification, has resolved to issue the following:

GENERAL PROVISIONS APPLICABLE TO THE USE OF THE ELECTRONIC AUTHORIZATION SYSTEM FOR THE ORGANIZATION, OPERATION AND FUNCTIONING OF ENTITIES

CHAPTER I

Preliminary Provisions

Article 1. - These provisions aim to establish and regulate the use and functioning of the Electronic Authorization System through which the necessary documentation and information can be presented within the authorization process for the organization, operation, and functioning of those entities specified by the laws and which fall under the competence of the Commission.

Article 2.- For the purposes of these provisions, the following terms shall be understood, in singular or plural:

I.
Commission: National Banking and Securities Commission.

II.
Entity: multiple banking institutions, brokerage houses, investment fund operating societies, investment fund share distribution societies, investment fund share valuation societies, societies that manage systems to facilitate securities operations, securities rating agencies, savings and loan cooperative societies with operation levels I to IV, credit unions, popular financial societies, and community financial societies with operation levels I to IV, crowdfunding institutions, electronic payment fund institutions, and societies authorized by the Commission to operate with novel models.

III.
Guides: The "CNBV Guides for Authorization Requests," which constitute a support tool for interested parties seeking authorization from the Commission for the organization, operation, and functioning of Entities, published by the Commission and available to the general public on the Internet site https://www.gob.mx/cnbv/

IV.
Applicant: the person who, through the Electronic System, opts to present before the Commission, an authorization request for the organization, operation, and functioning of an Entity.
This definition includes the Federations and the Auxiliary Supervision Committee of the Auxiliary Supervision Fund of Savings and Loan Cooperative Societies and Protection of their Savers, which present requests before the Commission regarding popular financial societies, savings and loan cooperative societies, and community financial societies in accordance with the applicable laws.

V.
Electronic System:
the electronic authorization system for the organization, operation, and functioning of entities.

Article 3.- The Electronic System is the computer tool and communication channel available to Applicants, instrumented and administered by the Commission, through which authorization requests for the organization, operation, and functioning of new Entities can be presented and processed electronically, as well as for savings and loan cooperative societies and community financial societies to continue carrying out their operations with a level other than basic, and for the delivery and receipt of the information and documentation subject to them.

The authorization requests for the organization, operation, and functioning referred to above, processed through the Electronic System, must be presented in the form, terms, and with the documentation required by financial laws and general provisions issued by the Commission, depending on the type of Entity involved.

Article 4.- Without prejudice to what is established in these provisions, the Commission may require, at any time, the physical presentation of documents entered through the Electronic System, for the purposes of their comparison and review.

Article 5.- Access to the Electronic System will be through the Commission's Internet page, at the Internet site https://www.gob.mx/cnbv/

The Applicant may, through the Electronic System, inquire about the status of their request within the authorization process, at any of its stages.

Article 6.- Applicants who opt to present the request using the Electronic System must process a username and password with the Commission, which in addition to allowing access to the system, will give validity to the actions carried out through it, producing the same legal effects as an autograph signature.

The username and password will be processed by presenting a written request addressed to the Commission and signed by the interested party, in accordance with the form contained in Annex 1 of these provisions, to which the documents requested therein will be attached.

The written request referred to in the preceding paragraph shall contain the following elements and declarations:

I.
The request for a username and password to access the Electronic System.

II.
The agreement to present and process the authorization request for the new Entity, or for savings and loan cooperative societies and community financial societies to continue carrying out their operations with a level other than basic, through the Electronic System, accepting its use and adherence to the instructions of the system itself.

III.
The name or, if applicable, the corporate name or trade name of the interested party seeking the username and password to access the Electronic System and the name of their legal representative or attorney-in-fact.

IV.
The express acceptance to receive notifications by electronic means, with receipt acknowledgment, through the Electronic System.

V.
An email address, so that the Commission may notify the username and password.

VI.
That the use of the username and password to access the Electronic System will be the exclusive responsibility of the user. This is without prejudice to the fact that other users may use them with their consent.

VII.
Knowledge of the privacy notice, contained on the Internet site https://www.gob.mx/privacidadintegral

The username and password will be notified to the interested party at the email address indicated in the previous fraction V.

The Commission may require the interested party to provide additional information to review the data contained in the form, as well as the documentation delivered with it.

Article 7.- In the event of force majeure, fortuitous event, or technical failures that interrupt the functioning of the Electronic System, the Commission will issue the respective notice through its Internet page. In this case, legal deadlines regarding all actions that must be carried out through the Electronic System will be suspended until the service is restored.

CHAPTER II

On the Sending and Receiving of Information and Documentation

Article 8.- The Electronic System will be available twenty-four hours a day, three hundred sixty-five days a year, so the Applicant may present their request, as well as send the necessary documents through the system on any day.

Actions and submissions of information and documentation made by the Applicant on non-business days and outside the hours of 9:00 to 15:00, in the time zone of Mexico City, will be considered as carried out on the next business day.

The Electronic System will generate the corresponding receipt acknowledgment once the information and documentation have been uploaded completely, without prejudging their content.

Article 9.- Documents sent via the Electronic System must meet the requirements established for this purpose in the applicable laws and the provisions emanating from them; the Guides may serve as orientation for their presentation.

Documents sent through the Electronic System will be considered authentic, unless proven otherwise.

Documents will be sent on a single occasion, and their content will be the exclusive responsibility of the Applicant; therefore, once submitted, they cannot be modified or replaced, except for documents sent in response to precautions and information requests made by the Commission.

Article 10.- Notifications that the Commission must make to the Applicant will be carried out through the Electronic System, on business days and during the hours of 9:00 to 18:00, generating the corresponding receipt acknowledgment with which the Applicant will be considered notified.

TRANSITORY

SINGLE TRANSITORY PROVISION.- These provisions will enter into force the day following their publication in the Official Gazette of the Federation.

Respectfully,

Mexico City, April 2, 2018. - The President of the National Banking and Securities Commission, José Bernardo González Rosas. - Signature.

ANNEX 1

USER AND PASSWORD REQUEST FORM FOR THE USE OF THE AUTHORIZATION SYSTEM FOR THE ORGANIZATION, OPERATION AND FUNCTIONING OF ENTITIES SUBJECT TO THE SUPERVISION OF THE NATIONAL BANKING AND SECURITIES COMMISSION

A.
AFFIDAVIT FORMAT FOR NATURAL PERSONS

Mexico City, (date of signing)

NATIONAL BANKING AND SECURITIES COMMISSION

PRESENT

The undersigned, (name of the person signing), by my own right [or through my attorney (name of the attorney)], declare under oath and for the purpose of providing the information necessary to obtain the username and password required for the use of the Electronic System, the following:

I.
At this time, I request that this National Banking and Securities Commission grant me a username and password to enter and use the Electronic System.

II.
The full agreement to present and process the authorization request to organize, operate, and function as (type of Entity) through the Electronic System, in accordance with the instructions established by the system itself.

III.
The express agreement and acceptance on my part [represented] to receive notifications related to the authorization request by electronic means, with receipt acknowledgment, through the Electronic System.

IV.
That the use of the username and password to access the Electronic System will be the exclusive responsibility of the user. This is without prejudice to the fact that other users may use them with my consent, so any action carried out through the Electronic System will be attributable to the undersigned [to my represented party], producing the same legal effects as an autograph signature.

V.
Knowledge of the privacy notice, contained on the Internet site https://www.gob.mx/privacidadintegral

Finally, in order for the National Banking and Securities Commission to notify [notify my represented party] the username and password to access the Electronic System, I indicate the following email address (include email address).

(name of the signatory)

I SWEAR TO THE NECESSARY

B.
AFFIDAVIT FORMAT FOR LEGAL ENTITIES

Mexico City, (date of signing)

NATIONAL BANKING AND SECURITIES COMMISSION

PRESENT

(Corporate name or trade name of the legal entity), through its representative (name of the legal representative or attorney), personality accredited by the public instrument (data of the deed), declares under oath and for the purpose of providing the information necessary to obtain the username and password required for the use of the Electronic System, the following:

I.
At this time, I request that this National Banking and Securities Commission grant me a username and password to enter and use the Electronic System on behalf and in representation of

(corporate name or trade name of the legal entity).

II.
The full agreement of my represented party to present and process the authorization request to [organize, operate, and function as (type of Entity)] [that the savings and loan cooperative society (name) or the community financial society (name) continue carrying out its operations with a level other than basic], through the Electronic System, in accordance with the instructions established by the system itself.

III.
The express agreement and acceptance of my represented party to receive notifications related to the authorization request by electronic means, with receipt acknowledgment, through the Electronic System.

IV.
That the use of the username and password to access the Electronic System will be the exclusive responsibility of the user. This is without prejudice to the fact that other users may use them with the consent of my represented party, so any action carried out through the Electronic System will be attributable to the user, producing the same legal effects as an autograph signature.

V.
Knowledge of the privacy notice, contained on the Internet site https://www.gob.mx/privacidadintegral

Finally, in order for the National Banking and Securities Commission to notify my represented party of the username and password assigned to access the Electronic System, I indicate the following email address (include email address).

(name of the signatory)

I SWEAR TO THE NECESSARY

Filling Instructions:

1.
Provide the information indicated in parentheses.

2.
Attach the following documentation:

A. Natural Persons:

a)
Copy of the birth certificate.

b)
Copy of the valid official identification with photograph.
For the purposes of this subsection, the following documents issued by Mexican authorities will be considered valid personal identification: the voter credential, passport, professional license, National Military Service card, consular registration certificate, unique military identity card, affiliation card to the National Institute for Older Adults, credentials and cards issued by the Mexican Social Security Institute, driver's license, credentials issued by federal, state, and municipal authorities, identity certificates issued by municipal authorities, and other identifications that, if applicable, are approved by the Commission. Likewise, regarding natural persons of foreign nationality, in addition to those previously referred to in this paragraph, the passport or documentation issued by the National Institute of Migration that accredits their migratory status will be considered valid personal identification documents.

c)
Copy of the tax identification card of the natural person and that of their attorney, if applicable.

d)
If applicable, copy of the Unique Population Registration Key of the natural person and that of their attorney.

B. Legal Entities:

a)
Certified copy of the public instrument by virtue of which the legal representative or attorney accredits their personality.

b)
Copy of the tax identification card of the legal representative or attorney.

c)
Copy of the Unique Population Registration Key of the legal representative or attorney.

d)
Copy of a valid official identification with photograph of the legal representative or attorney.
For the purposes of this subsection, the following documents issued by Mexican authorities will be considered valid personal identification: the voter credential, passport, professional license, National Military Service card, consular registration certificate, unique military identity card, affiliation card to the National Institute for Older Adults, credentials and cards issued by the Mexican Social Security Institute, driver's license, credentials issued by federal, state, and municipal authorities, identity certificates issued by municipal authorities, and other identifications that, if applicable, are approved by the Commission. Likewise, regarding natural persons of foreign nationality, in addition to those previously referred to in this paragraph, the passport or documentation issued by the National Institute of Migration that accredits their migratory status will be considered valid personal identification documents.

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