Notice Disclosing the Electronic Means for Submitting Annual Audit Review Reports and Compliance Manuals for AML/CFT Purposes

NOTICE DISCLOSING THE ELECTRONIC MEANS THROUGH WHICH THE REPORT ON THE RESULTS OF THE ANAUDIT REVIEW, AS WELL AS THE COMPLIANCE MANUAL OR EQUIVALENT DOCUMENT, REFERRED TO IN THE VARIOUS GENERAL PROVISIONS APPLICABLE IN MATTERS OF PREVENTION OF OPERATIONS WITH RESOURCES OF ILICIT ORIGIN AND FINANCING OF TERRORISM MUST BE PRESENTED.

Published in the Official Gazette of the Federation on November 1, 2019

NOTICE DISCLOSING THE ELECTRONIC MEANS THROUGH WHICH THE REPORT ON THE RESULTS OF THE ANNUAL AUDIT REVIEW, AS WELL AS THE COMPLIANCE MANUAL OR EQUIVALENT DOCUMENT, REFERRED TO IN THE VARIOUS GENERAL PROVISIONS APPLICABLE IN MATTERS OF PREVENTION OF OPERATIONS WITH RESOURCES OF ILICIT ORIGIN AND FINANCING OF TERRORISM MUST BE PRESENTED

To general deposit warehouses, investment advisors, brokerage houses, exchange houses, exchange centers, credit institutions, fintech institutions, rural financial integration organizations, authorized societies for operating with novel models, savings and loan cooperative societies with operation levels I to IV, societies distributing shares of investment funds, community financial societies with operation levels I to IV, regulated and unregulated multiple-object financial societies, popular financial societies, investment fund operating societies, money transmitters, credit unions, and the National Financial Development Institution for Agriculture, Rural, Forest, and Fisheries Sectors.

The National Banking and Securities Commission, in accordance with the provisions of the 48th and 51st of the General Provisions referred to in Article 95 Bis of the General Law of Organizations and Auxiliary Credit Activities, applicable to the exchange centers referred to in Article 81-A of the same legislation; the 52nd and 54th of the General Provisions referred to in Article 95 Bis of the General Law of Organizations and Auxiliary Credit Activities, applicable to the money transmitters referred to in Article 81-A Bis of the same legislation; the 52nd and 54th of the General Provisions referred to in Articles 115 of the Credit Institutions Law in relation to 87-D of the General Law of Organizations and Auxiliary Credit Activities and 95-Bis of the latter legislation, applicable to multiple-object financial societies; the 61st and 63rd of the General Provisions referred to in Article 212 of the Securities Market Law; the 38th of the General Provisions referred to in Article 226 Bis of the Securities Market Law, applicable to investment advisors; the 51st and 53rd of the General Provisions referred to in Article 95 of the General Law of Organizations and Auxiliary Credit Activities, applicable to Exchange Houses; the 60th and 64th of the General Provisions referred to in Article 115 of the Credit Institutions Law; the 51st and 52nd of the General Provisions referred to in Article 95 of the General Law of Organizations and Auxiliary Credit Activities applicable to General Deposit Warehouses; the 62nd and 67th of the General Provisions referred to in Article 124 of the Popular Savings and Credit Law; the 64th and 67th of the General Provisions referred to in Articles 71 and 72 of the Law for Regulating the Activities of Savings and Loan Cooperative Societies; the 55th and 57th of the General Provisions referred to in Article 91 of the Investment Funds Law; the 52nd and 53rd of the General Provisions referred to in Article 129 of the Credit Unions Law; the 48th and 49th of the General Provisions referred to in Article 60 of the Organic Law of the National Financial Development Institution for Agriculture, Rural, Forest, and Fisheries Sectors, and Articles 76, 82, and 106 of the General Provisions referred to in Article 58 of the Law for Regulating Fintech Institutions (Provisions), and based on Article 16, fraction I of the Law of the National Banking and Securities Commission, hereby communicates to you through this Notice that:

First.- The submission to the National Banking and Securities Commission of the report on the results of the annual audit review, as well as the Compliance Manual or equivalent document referred to in the Provisions, shall be carried out electronically through the Internet portal of the National Banking and Securities Commission, via the Interinstitutional Information Transfer System (SITI PLD/FT), whose instructions can be consulted in the notices section of the aforementioned portal.

Second.- The information indicated in the previous first point shall be submitted in Portable Document Format (PDF) document format, with accessibility configuration that allows text selection and data search in the document content. Upon receiving the information through the system, the SITI PLD/FT will generate an electronic receipt stating the name of the entity, society, or name of the person subject to the obligation to send the information, folio number, type of information, as well as the date and time of receipt.

Third.- The information must be presented only once in accordance with the deadlines, terms, and conditions provided for in the various general provisions applicable in matters of prevention of operations with resources of illicit origin and financing of terrorism, and is received by the National Banking and Securities Commission, under the assumption that the submission meets all required characteristics.

TRANSITIONAL PROVISIONS

FIRST.- This Notice takes effect the day following its publication in the Official Gazette of the Federation.

SECOND.- This Notice renders ineffective the "Notice by which the means through which the results of the review by the internal audit area, or by an independent external auditor, as well as the document in which they develop policies for client and user identification and knowledge and the criteria, measures, and internal procedures to be adopted to comply with the general provisions applicable, or their modifications, shall be presented," published in the Official Gazette of the Federation on January 7, 2016.