Regulatory Alerts2016-01-07 | DOF 5422247Added · Updated
Notice on the Method for Submitting Annual Audit Review Results and AML/CFT Policies
The National Banking and Securities Commission requires specified financial entities, including credit institutions, brokerage houses, money transmitters, and others, to electronically submit annual internal audit or independent external auditor review results, along with their customer identification policies and internal anti-money laundering procedures, via the SITI system on the Commission's website. This submission must be made through the compliance officer and adhere to the periodicity and quality standards set in the November 7, 2013 guidelines for audit reports on illicit resource prevention. This Notice entered into force the day after its publication on January 7, 2016, and explicitly abrogates the previous Notice published on January 31, 2013.
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