Official Letter Authorizing Janus Henderson Investors UK Limited to Establish a Representation Office in Mexico

DOF: 27/12/2024

OFFICIAL LETTER authorizing Janus Henderson Investors UK Limited to establish a representation office in Mexico

A seal bearing the National Coat of Arms appears at the margin, stating: United Mexican States.- Treasury.- Ministry of Finance and Public Credit.- National Banking and Securities Commission.- Vice Presidency of Regulation.- General Directorate of Authorizations to the Financial System.- Vice Presidency of Stock Market Supervision.- General Directorate of Supervision of Stock Market Entities and Intermediaries.- Coordination of Supervision of Stock Market Entities and Intermediaries C.- Official Letter No.: 312-3/43082/2024.- File No.: CNBV.3S.1.312 (16720).

Subject:

Authorization is granted to that entity to establish a representation office in Mexico.

JANUS HENDERSON INVESTORS UK LIMITED

Blvd. Manuel Ávila Camacho 24, 7th floor,
Lomas de Chapultepec, Postal Code 11000,
Mexico City

ATTN.:

LIC. IGNACIO MARÍA DE LA MAZA BORREGO
Legal Representative

We refer to the documents received by this Commission on February 29, June 10, and October 3, 2024, via the email address VPSupervisionB@cnbv.gob.mx, through which Janus Henderson Investors UK Limited (Janus) requested authorization to establish a Representation Office in the national territory.

Regarding this matter, the Board of Directors of this Commission, in a session held on December 10, 2024, pursuant to Article 159 of the Securities Market Law and the Fourth Rule of the Rules for Representation Offices of Foreign Financial Entities (the Rules), and taking into consideration the analysis of the documentation and information presented, adopted the following Agreement:

" SIXTH.- The members of the Board of Directors of the National Banking and Securities Commission, pursuant to Article 12, fraction XV of the National Banking and Securities Commission Law, in relation to Article 159 of the Securities Market Law and the Fourth, first paragraph of the Rules for Representation Offices of Foreign Financial Entities, unanimously agreed to authorize the establishment in Mexico of a representation office of Janus Henderson Investors UK Limited. "

The authorization has been granted considering the following:

BACKGROUND

1.

Janus is a private limited company by shares (Private Company Limited by Shares), constituted in accordance with the laws of the United Kingdom of Great Britain and Northern Ireland and authorized by the competent authorities of that jurisdiction to provide financial services in conformity with the laws of the United Kingdom, subject to the supervision of the Financial Conduct Authority (Financial Conduct Authority or FCA).

2.

The law firm Eversheds Sutherland (International) LLP., through its legal opinion, confirmed that Janus does not require approval from the UK Financial Conduct Authority to establish a Representation Office in Mexico.

3.

Ms. Larissa Hannah Wilson, in her capacity as administrator of Janus, stated that, in an ordinary session of the Board of Directors dated January 30, 2024, the aforementioned body agreed to: (i) establish a Representation Office in Mexico; and (ii) appoint Mr. Christian Constandse Cabello as the Representative in charge of it.

The representation office of Janus shall be governed by the following bases:

BASES

FIRST. -

It must at all times, insofar as its operation is concerned, comply with the provisions of
Article 159 of the Securities Market Law and the Rules for Representation Offices
of Foreign Financial Entities and, in particular, the following:

I.

It shall at all times bear the name Janus Henderson Investors UK Limited, followed by the expression "Representation Office in Mexico".

II.

It shall have its social domicile in Mexico City.

III.

It shall carry out only the activities foreseen in the Tenth Rule of the Rules.

SECOND. -

The Representation Office shall be subject to inspection and supervision by the National Banking and Securities Commission.

THIRD. -

By its very nature, this authorization is non-transferable and does not imply certification regarding the solvency of the Representation Office in question.

This official letter shall be published in the Official Gazette of the Federation, at the expense of the petitioning entity, in accordance with what is provided in the Fourth, second paragraph of the Rules.

The commencement of operations of the Representation Office in question is subject to the report that for that effect Janus must submit to this Commission and other competent financial authorities, with an advance notice of at least fifteen natural days prior to the scheduled date, in terms of the Eleventh Rule, fraction II of the Rules.

Finally, this Commission does not omit to note that the loss by the Representative in charge of the Representation Office of Janus of any of the characteristics established in the Eighth Rule of the Rules, including being in any of the circumstances preventing them from serving as representative, as well as the declaration of false data, shall be grounds for revocation to act as representative of the representation office in question, in accordance with the Eighth Rule, penultimate paragraph of the Rules.

This official letter is issued pursuant to Articles 16, penultimate paragraph of the National Banking and Securities Commission Law; and 14, 20, fraction V, 26, fractions I, subsection h), II and III and last paragraph, 44, fractions I and IV of the Internal Regulations of the National Banking and Securities Commission.

Respectfully,

Mexico City, December 16, 2024.- General Director of Authorizations to the Financial System, Lic. Aurora de la Paz Torres Arroyo.- Signature.- General Director of Supervision of Stock Market Entities and Intermediaries, Lic. Rodrigo Hernández Clemente.- Signature.

(R.- 559492)

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