Resolution amending the General Provisions under Article 226 Bis of the Securities Market Law applicable to Investment Advisers

DOF: 29/12/2015

RESOLUTION amending the General Provisions under Article 226 Bis of the Securities Market Law, applicable to Investment Advisers

A seal with the National Coat of Arms appears at the margin, stating: United Mexican States.- Ministry of Finance and Public Credit.

RESOLUTION AMENDING THE GENERAL PROVISIONS UNDER ARTICLE 226 BIS OF THE SECURITIES MARKET LAW, APPLICABLE TO INVESTMENT ADVISERS

LUIS VIDEGARAY CASO, Secretary of Finance and Public Credit, pursuant to the provisions of Articles 31, fractions VIII and XXXIV of the Organic Law of the Federal Public Administration, as well as Article 226 Bis of the Securities Market Law, in exercise of the powers conferred upon me by Article 6, fraction XXXIV of the Internal Regulations of the Ministry of Finance and Public Credit, and having received the prior opinion of the National Banking and Securities Commission issued via letter number 213/DGPORPIB-67582/2015 dated October 21, 2015; and

CONSIDERING

That one of the most effective mechanisms within the regulatory framework for the prevention and combat of operations with proceeds of illicit origin and terrorism financing consists in the implementation of policies for the identification and knowledge of clients by investment advisers, as they constitute one of the fundamental elements to mitigate the risk of their use for the commission of such offenses;

That on January 10, 2014, the "Decree amending, adding and repealing various provisions in financial matters and issuing the Law to Regulate Financial Groups" was published in the Official Journal of the Federation, which contemplated modifying, among other laws, the Securities Market Law, by adding Article 226 Bis, which establishes the obligation for investment advisers to cooperate with securities market intermediaries in the prevention and detection of acts, omissions or operations that could favor, provide help, assistance or cooperation of any kind for the commission of the crimes provided for in Article 139 Quater of the Federal Penal Code or that could fall under the circumstances of Article 400 Bis of the same Code;

That in congruence with the above and pursuant to Article 226 Bis of the Securities Market Law, the "General Provisions under Article 226 Bis of the Securities Market Law, applicable to Investment Advisers" were published in the Official Journal of the Federation on December 31, 2014, through which the minimum measures and procedures that investment advisers are obliged to observe to prevent and detect the acts, omissions or operations referred to in the previous paragraph were established;

That it is crucial that in the implementation of said minimum measures and procedures, investment advisers consider and analyze in an integral manner all their obligations regarding this matter, in order to carry out the implementation satisfactorily;

That based on the foregoing, it is necessary to establish an additional deadline for investment advisers to be in a position to comply with the obligation to implement the minimum measures and procedures established in the "General Provisions under Article 226 Bis of the Securities Market Law, applicable to Investment Advisers", and therefore, to duly comply with the objectives of the General Provisions in question; and

That once the opinion of the National Banking and Securities Commission has been heard, I have deemed it appropriate to issue the following:

RESOLUTION AMENDING THE GENERAL PROVISIONS UNDER ARTICLE 226 BIS OF THE SECURITIES MARKET LAW, APPLICABLE TO INVESTMENT ADVISERS

SINGLE PROVISION.- The Second Transitory Provision of the General Provisions under Article 226 Bis of the Securities Market Law, applicable to Investment Advisers, published in the Official Journal of the Federation on December 31, 2014, is AMENDED, to read as follows:

TRANSITORY PROVISIONS

First.- ...

Second.- Investment Advisers shall comply with the obligations established in this Resolution, starting from July 1, 2016.

Third to Fifth.- ...

Annex 1

...

TRANSITORY PROVISION

Single.- This Resolution shall enter into force the day following its publication in the Official Journal of the Federation.

Mexico City, December 23, 2015.- The Secretary of Finance and Public Credit, Luis Videgaray Caso.- Signature.

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