Notice on the Method for Submitting Annual Audit Review Results and AML/CFT Policies

DOF: 07/01/2016

AVISO by which the means through which the results of the annual review by the internal audit area, or by an independent external auditor, as well as the document in which they develop the policies for identification and knowledge of clients and users and the criteria, measures and internal procedures that will be adopted to comply with the general provisions applicable, or their modifications, are to be presented, is made known.

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

NOTICE BY WHICH THE MEANS THROUGH WHICH THE RESULTS OF THE ANNUAL REVIEW BY THE INTERNAL AUDIT AREA, OR BY AN INDEPENDENT EXTERNAL AUDITOR, AS WELL AS THE DOCUMENT IN WHICH THEY DEVELOP THE IDENTIFICATION AND KNOWLEDGE POLICIES OF CLIENTS AND USERS AND THE CRITERIA, MEASURES AND INTERNAL PROCEDURES THAT WILL BE ADOPTED TO COMPLY WITH THE GENERAL PROVISIONS APPLICABLE, OR THEIR MODIFICATIONS, ARE MADE KNOWN

TO THE GENERAL WAREHOUSES OF DEPOSIT, INVESTMENT ADVISORS, BROKERAGE HOUSES, EXCHANGE HOUSES, EXCHANGE CENTERS, CREDIT INSTITUTIONS, RURAL FINANCIAL INTEGRATION ORGANISMS, SAVINGS AND LOAN COOPERATIVE SOCIETIES, INVESTMENT FUND SHARE DISTRIBUTING SOCIETIES, COMMUNITY FINANCIAL SOCIETIES, REGULATED AND UNREGULATED MULTIPURPOSE FINANCIAL SOCIETIES, POPULAR FINANCIAL SOCIETIES, INVESTMENT FUND OPERATING SOCIETIES, MONEY TRANSITTERS, CREDIT UNIONS AND

THE NATIONAL FINANCIAL INSTITUTION FOR AGRICULTURAL, RURAL, FORESTRY AND FISHERY DEVELOPMENT

The National Banking and Securities Commission, based on Articles 87-D, fractions I, subsection o), II, subsection m), III, subsection p), IV, subsection o) and V, subsection d); 95 and 95 Bis of the General Law of Organizations and Auxiliary Credit Activities; 115 of the Credit Institutions Law; 212 and 226 Bis of the Securities Market Law; 124 of the Savings and Popular Credit Law; 71 and 72 of the Law to Regulate the Activities of Savings and Loan Cooperative Societies; 91 of the Investment Funds Law, 129 of the Credit Unions Law; 60 of the Organic Law of the National Financial Institution for Agricultural, Rural, Forestry and Fishery Development and 4, fractions XXXVI and XXXVIII and 16, fraction I of the Law of the National Banking and Securities Commission; as well as in 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 instrument; 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 money transmitters referred to in Article 81-A Bis of the same instrument; 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 instrument, applicable to multipurpose financial societies; 61st and 63rd of the General Provisions referred to in Article 212 of the Securities Market Law; 38th of the General Provisions referred to in Article 226 Bis of the Securities Market Law, applicable to investment advisors; 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; 60th and 64th of the General Provisions referred to in Article 115 of the Credit Institutions Law; 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 Warehouses of Deposit; 62nd and 67th of the General Provisions referred to in Article 124 of the Savings and Popular Credit Law; 64th and 67th of the General Provisions referred to in Articles 71 and 72 of the Law to Regulate the Activities of Savings and Loan Cooperative Societies; 55th and 57th of the General Provisions referred to in Article 91 of the Investment Funds Law;

52nd and 53rd of the General Provisions referred to in Article 129 of the Credit Unions Law;

and 48th and 49th of the General Provisions referred to in Article 60 of the Organic Law of the National Financial Institution for Agricultural, Rural, Forestry and Fishery Development, published in the Official Gazette of the Federation on April 20 and September 25, 2009, September 9, 2010, March 17, 2011, April 10 and October 26, 2012, December 31, 2014 and April 2, 2015,

communicates to you:

First.-

The general warehouses of deposit, investment advisors, brokerage houses, exchange houses, exchange centers, credit institutions, rural financial integration organizations, savings and loan cooperative societies, investment fund share distributing societies, community financial societies, regulated and unregulated multipurpose financial societies, popular financial societies, investment fund operating societies, money transmitters, credit unions and the National Financial Institution for Agricultural, Rural, Forestry and Fishery Development (obligated subjects), must electronically remit to the National Banking and Securities Commission, as applicable in accordance with current provisions, the results of the annual review by the internal audit area, or by an independent external auditor, as well as the document in which they develop their policies for identification and knowledge of clients and users and the criteria, measures and internal procedures they will adopt to comply with what is established in the corresponding general provisions, through the portal of said Commission on the worldwide network known as the Internet at the site http://www.cnbv.gob.mx, using for such effect the Interinstitutional Information Transfer System (SITI), whose instruction manual can be consulted in the Notices section of the cited portal.

The aforementioned information must be presented with the periodicity and quality established in the applicable provisions in the matter and in the "Guidelines for the preparation of the audit report to evaluate compliance with general provisions in matters of prevention of operations with resources of illicit origin and financing of terrorism", published in the Official Gazette of the Federation on November 7, 2013, as applicable.

Second.-

The obligated subjects will provide the information foreseen in this Notice, through the compliance officer or their equivalent in terms of the applicable provisions.

TRANSITORY PROVISIONS

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

SECOND.- This Notice abrogates the "NOTICE by which the means through which the results of the annual review by the internal audit area, or by an independent external auditor, as well as the document in which they develop the policies for identification and knowledge of clients and users and the criteria, measures and internal procedures that will be adopted to comply with the general provisions applicable, or their modifications, are to be presented", published in the Official Gazette of the Federation on January 31, 2013.

Respectfully,

Mexico, D.F., December 21, 2015. - The President of the National Banking and Securities Commission, Jaime González Aguadé. - Signature.

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