Official Letter Granting Authorization for the Organization and Operation of a Crowdfunding Institution Named Sustainable Tech Esg, S.A.P.I. de C.V., Crowdfunding Institution

Official Gazette of the Federation: 12/12/2022

OFFICIAL LETTER granting authorization for the organization and operation of a Crowdfunding Institution to be named Sustainable Tech Esg, S

In the margin a seal with the National Shield, which says: United Mexican States.- FINANCE.- Secretariat of Finance and Public Credit.- National Banking and Securities Commission.- Vice Presidency of Regulations.- General Directorate of Specialized Authorizations.- Technical Vice Presidency.- Official Letter No.: 311-21134615/ 2022.

Subject:

Authorization for the organization and

operation of a Crowdfunding

Institution to be named

Sustainable Tech Esg, S.A.P.I. de C.V.,

Crowdfunding Institution.

Sustainable Tech Esg, S.A.P.I. de C.V.

Montecito 38, office 16, floor 28

Col. Nápoles, Zip Code 03810

Benito Juárez, Mexico City

ATTN.:

Citizens Mario Adrián Cruz Espíndola and

Alberto Ratia Mendoza

Legal Representatives

In terms of articles 1 and 2 of the Law of the National Banking and Securities Commission, this National Banking and Securities Commission (Commission) is a decentralized body of the Secretariat of Finance and Public Credit, which aims to supervise and regulate within its competence the entities comprising the Mexican financial system, in order to ensure their stability and correct functioning, as well as maintain and promote the sound and balanced development of said system as a whole, in protection of the public interest. According to article 4, sections XI and XXXVIII of said law, it corresponds to the Commission to authorize the constitution and operation of those entities indicated by the laws, as well as exercise the other powers attributed to it by the Law of the National Banking and Securities Commission.

In this order of ideas, article 35 of the Law to Regulate Financial Technology Institutions establishes that persons who intend to carry out the activities attributed to crowdfunding institutions or electronic payment funds, must request their authorization as a financial technology institution before the Commission, which will grant it when in its judgment the legal and regulatory requirements are adequately met, prior agreement of the Interinstitutional Committee referred to in said article 35.

Considering the above, with a document presented on October 29, 2021, Sustainable Tech Esg, S.A.P.I. de C.V. (FinSphera or the company) requested authorization from the Commission to organize and operate as a Crowdfunding Institution to be named Sustainable Tech Esg, S.A.P.I. de C.V., Crowdfunding Institution, attaching thereto the corresponding supporting information and documentation indicated in article 39 of the Law to Regulate Financial Technology Institutions.

In terms of article 5, second paragraph of the Law to Regulate Financial Technology Institutions, this Commission prevented FinSphera within the period established in said law to address various observations regarding its authorization request, in addition to granting an extension to the initial period to address them.

In relation to the above, FinSphera sent documentation and information in order to respond to the aforementioned prevention. Additionally, this authority required diverse complementary documentation and information from FinSphera for the purpose of having sufficient elements of judgment to resolve the authorization request presented by FinSphera; a company that attended the request for complementary information and sent updated documentation and information regarding its file.

The company requested an extension to the resolution period and an extension for compliance, which were granted.

Having stated the above, you are informed that the Interinstitutional Committee in session held on December 2, 2022, based on articles 11 and 35, in correlation with article 15 of the Law to Regulate Financial Technology Institutions and,

CONSIDERING

FIRST. - That the documentation and information presented on the occasion of the authorization request for the organization and operation of the crowdfunding institution, to be named Sustainable Tech Esg, S.A.P.I. de C.V., Crowdfunding Institution, complies with the requirements provided in article 15, in correlation to article 39 of the Law to Regulate Financial Technology Institutions and with articles 3, 4 and 6 of the General Provisions applicable to Financial Technology Institutions, and,

SECOND. - That from the analysis of the documentation and information received it was concluded that from the legal, financial and operational point of view it is appropriate to grant the requested authorization, therefore, in accordance with the certification of the Secretary of the Interinstitutional Committee, which is transcribed in the relevant part, the following was adopted:

AGREEMENT

" SINGLE.- The members of the Interinstitutional Committee, in accordance with articles 11 and 35, in relation to article 15 of the Law to Regulate Financial Technology Institutions, agreed unanimously to grant the authorization for the organization and operation of a crowdfunding institution to be named Sustainable Tech Esg, S.A.P.I. de C.V., Crowdfunding Institution. "

The previous agreement is adopted without prejudice to the other authorizations that due to the described act, must be obtained from the Commission or any other financial authority, in terms of the applicable provisions, as well as the exercise of the powers attributed to the Commission itself during the organization process of Sustainable Tech Esg, S.A.P.I. de C.V., Crowdfunding Institution, in which the applicable requirements for the start of operations must be met.

Therefore, this National Banking and Securities Commission, prior agreement of the Interinstitutional Committee, authorizes the organization and operation of a crowdfunding institution to be named Sustainable Tech Esg, S.A.P.I. de C.V., Crowdfunding Institution.

The entity whose organization and operation is authorized, will be subject to the following:

CONDITIONS

FIRST.

The name of the company shall be Sustainable Tech Esg, S.A.P.I. de C.V., Crowdfunding Institution.

SECOND.

It shall have its social domicile in Mexico City.

THIRD.

Its duration shall be indefinite.

FOURTH.

The amount of its initial share capital shall be $10,520,240.00 (ten million five hundred twenty thousand two hundred forty pesos 00/100 M.N.).

FIFTH.

Its corporate purpose shall correspond to the realization of the activities in national currency contemplated in article 16, section I of the Law to Regulate Financial Technology Institutions. Additionally, it may carry out the activities provided in article 19 of the aforementioned legal order, in accordance with its corporate purpose.

SIXTH.

The authorization referred to in this official letter is, by its own nature, non-transferable.

SEVENTH.

Sustainable Tech Esg, S.A.P.I. de C.V., Crowdfunding Institution shall be subject to the supervision of the National Banking and Securities Commission and the Bank of Mexico, in the exercise of their respective attributes, as well as, of the other competent financial authorities in the terms that the laws provide and provisions emanating from them.

EIGHTH.

The services consisting of debt crowdfunding that Sustainable Tech Esg, S.A.P.I. de C.V., Crowdfunding Institution provides by virtue of this authorization, as well as the other operations it carries out, as well as its organization and operation in general, shall be subject to the Law to Regulate Financial Technology Institutions, to the rules and general provisions applicable to Financial Technology Institutions issued by the National Banking and Securities Commission, to the provisions regarding its operations issued by the Bank of Mexico and to the other current norms and provisions and those that will be issued in the future by any competent authority, including those relative to operations with resources of illicit origin and financing of terrorism, which by their nature are applicable.

Sustainable Tech Esg, S.A.P.I. de C.V., Crowdfunding Institution, must accredit to this Commission, with at least thirty business days of anticipation to the start of its operations, compliance with the requirements established in article 40 of the Law to Regulate Financial Technology Institutions.

The present is issued based on the aforementioned legal provisions, as well as in exercise of the powers conferred in articles 1, 2, 4, sections XI and XXXVIII, 10, sections III and V of the Law of the National Banking and Securities Commission, as well as articles 1, 3, sections IV and V, 4, sections I, subsections A and B, and II, subsection A, numeral 5) and subsection B, numeral 32), 14, 17, 45, section I and 64, third paragraph of the Internal Regulations of the National Banking and Securities Commission, published in the Official Gazette of the Federation on February 28, 2022.

Sincerely

Mexico City, December 2, 2022 .- Director General of Specialized Authorizations, Lic. José Antonio Vizcaíno Ruiz .- Signature.- Technical Vice President, Lic. Ramiro Edgar Álvarez Hernández .- Signature.

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