Resolution Establishing Electronic Means to Report Compliance Committee Changes, Compliance Officer Designation, Control Identity, and Share Transmissions

DOF: 20/05/2020

RESOLUTION by which the information is issued and the electronic means are made known to report the composition and changes of the Communication and Control Committee; the designation and revocation of the Compliance Officer, Representative or Interim Compliance Officer; the identity of the person or group of persons who exercise control of the company, as well as the transmission of shares for more than two percent of the paid-in capital, as applicable, contemplated in the general provisions indicated.

A seal with the National Coat of Arms, which says: United Mexican States.- TREASURY.- Ministry of

Finance and Public Credit.

RESOLUTION BY WHICH THE INFORMATION IS ISSUED AND THE ELECTRONIC MEANS ARE MADE KNOWN TO REPORT THE COMPOSITION AND CHANGES OF THE COMMUNICATION AND CONTROL COMMITTEE; THE DESIGNATION AND REVOCATION OF THE COMPLIANCE OFFICER, REPRESENTATIVE OR INTERIM COMPLIANCE OFFICER; THE IDENTITY OF THE PERSON OR GROUP OF PERSONS WHO EXERCISE CONTROL OF THE COMPANY, AS WELL AS THE TRANSMISSION OF SHARES FOR MORE THAN TWO PERCENT OF THE

PAID-IN CAPITAL, AS APPLICABLE, CONTEMPLATED IN THE GENERAL PROVISIONS INDICATED

SANTIAGO NIETO CASTILLO, Head of the Financial Intelligence Unit of the Ministry of

Finance and Public Credit, based on articles 4 of the Federal Administrative Procedure Law; 14 and 15, sections I, II and III of the Federal Law for the Prevention and Identification of Operations with Resources of Illicit Origin; 212 and 226 Bis of the Securities Market Law; 87-D, 95 and 95 Bis of the General Law of Credit Institutions and Auxiliary Credit Activities; 115 of the Credit Institutions Law; 124 of the Popular Savings and Credit Law; 91 of the Investment Funds Law; 129 of the Credit Unions Law; 71 and 72 of the Law to Regulate the Activities of Savings and Loan Cooperative Societies; 60 of the Organic Law of the National Financial Development Bank for Agriculture, Rural, Forestry and Fisheries, as well as in the 47th and 49th of the General Provisions referred to in
article 212 of the Securities Market Law, published in the Official Gazette of the
Federación on September 9, 2010 and their respective modifications; 37th, 39th and 52nd of the General Provisions referred to in article 95 of the General Law of Credit Institutions and Auxiliary Credit Activities applicable to exchange houses, published in the Official Gazette of the Federation on September 25 2009 and their respective modifications; 33rd, 35th and 50th of the General Provisions referred to in article 95 Bis of the General Law of Credit Institutions and Auxiliary Credit Activities applicable to currency centers referred to in article 81-A of the same instrument, published in the Official Gazette of the Federation on April 10, 2012 and their respective modifications; 35th, 37th and 53rd of the General Provisions referred to in article 95 Bis of the General Law of Credit Institutions and Auxiliary Credit Activities applicable to money transmitters referred to in the
article 81-A Bis of the same instrument, published in the Official Gazette of the Federation on April 10,
2012 and their respective modifications;
37th and 39th of the General Provisions referred to the
article 95 of the General Law of Credit Institutions and Auxiliary Credit Activities applicable to the
general warehouses, published in the Official Gazette of the Federation on December 31, 2014 and their respective modifications; 46th and 48th of the General Provisions referred to the
article 115 of the Credit Institutions Law, published in the Official Gazette of the Federation on April 20,
2009 and their respective modifications;
49th, 51st and 66th of the General Provisions of the Popular Savings and Credit Law referred to in article 124, published in the Official Gazette of the Federation on December 31, 2014 and their respective modifications; 38th, 40th and 53rd of the General Provisions referred to in articles 115 of the Credit Institutions Law in relation to the 87-D of the General Law of Credit Institutions and Auxiliary Credit Activities and 95-Bis of this latter instrument, applicable to multiple-object financial societies, published in the Official Gazette of the Federation on March 17, 2011 and their respective modifications; 37th and 39th of the General Provisions referred to in article 129 of the Credit Unions Law, published in the Official Gazette of the Federation on October 26, 2012 and their respective modifications; 40th and 43rd of the General Provisions referred to in article 91 of the Investment Funds Law, published in the Official Gazette of the Federation on December 31, 2014 and their respective modifications; 50th and 52nd of the General Provisions referred to in articles 71 and 72 of the Law to Regulate the Activities of Savings and Loan Cooperative Societies, published in the Official Gazette of the Federation on December 31, 2014 and their respective modifications; 31st of the General Provisions referred to in article 226 Bis of the Securities Market Law, applicable to investment advisors, published in the Official Gazette of the Federation on December 31, 2014 and their respective modifications; 35th and 37th of Agreement 04/2015 by which the General Provisions referred to in article 60 of the Organic Law of the National Financial Development Bank for Agriculture are issued, Rural, Forestry and Fisheries, published in the Official Gazette of the Federation on April 2, 2015, as well as in the
article 15, section IV, in relation to article 4, second paragraph, both of the Internal Regulations of the
Ministry of Finance and Public Credit, and

CONSIDERING

That in accordance with what is provided in the financial laws cited above, the entities, societies and persons referred to in said laws will have, among other obligations, to establish measures and procedures to prevent and detect acts, omissions or operations that could favor, provide help, assistance or cooperation of any kind for the commission of the crimes provided for in articles 139 Quater or 400 Bis of the Federal Penal Code in the terms established in the general provisions that specifically regulate them;

That in accordance with the General Provisions indicated above, the Ministry of Finance and Public Credit must issue the official format, as well as indicate the terms and specifications so that the entities, societies and persons referred to in the cited General Provisions send to this agency, through the National Banking and Securities Commission, the composition and changes of the Communication and Control Committee, the designation and revocation of its Compliance Officer, Representative or Interim Compliance Officer and, if applicable, the identity of the person or group of persons who exercise control of the company, as well as the transmission of shares for more than two percent of the paid-in capital;

That in terms of article 4 of the Federal Administrative Procedure Law, administrative acts of a general nature, such as formats that have the purpose of establishing specific obligations and that are issued by the dependencies of the federal public administration, must be published in the Official Gazette of the Federación to produce legal effects;

That in accordance with what is provided in articles 4, second paragraph and 15, section IV, both of the Internal Regulations of the Ministry of Finance and Public Credit, the Financial Intelligence Unit has attributes to design, in coordination with the competent decentralized organs of said Ministry, the official forms for the presentation of reports on the acts, operations and services that the entities and societies obliged to do so carry out with their clients and users, regarding the establishment of measures and procedures to prevent and detect acts or operations that could favor, provide help, assistance or cooperation of any kind for the commission of the crimes provided for in articles 139 Quater or 400 Bis of the Federal Penal Code;

That the National Banking and Securities Commission, as supervisor in matters of prevention of operations with resources of illicit origin and financing of terrorism, has the System Interinstitutional Information Transfer (SITI PLD/FT), through which, brokerage houses, exchange houses, currency centers, money transmitters, general warehouses, credit institutions, the National Financial Development Bank for Agriculture, Rural, Forestry and Fisheries, popular financial societies with operation levels I to IV, community financial societies with operation levels I to IV, rural financial integration organizations, savings and loan cooperative societies with operation levels I to IV, investment advisors, investment fund operating societies, investment fund share distribution societies, multiple-object financial societies and credit unions comply with the obligations established in the General Provisions that have to be sent electronically, since the SITI PLD/FT is enabled for the sending of the information referred to, which allows taking advantage of the existing technological capacities to give greater speed to the information reception process, without this generating costs or new regulatory burdens for the aforementioned entities, societies and persons;

That the above allows carrying out the complete and timely transmission of information, as well as achieving greater efficiency in its sending and reception, which will contribute to achieving effective prevention of operations related to the commission of the crimes provided for in articles 139 Quater and 400 Bis of the Federal Penal Code, and

That once the opinion of the National Banking and Securities Commission has been heard, issued through the Office number DGPORPIA/75117/2020 and 213-2/80254/23/2020 dated April 2, 2020, the following is issued:

RESOLUTION BY WHICH THE INFORMATION IS ISSUED AND THE ELECTRONIC MEANS ARE MADE KNOWN TO REPORT THE COMPOSITION AND CHANGES OF THE COMMUNICATION AND CONTROL COMMITTEE; THE DESIGNATION AND REVOCATION OF THE COMPLIANCE OFFICER, REPRESENTATIVE OR INTERIM COMPLIANCE OFFICER; THE IDENTITY OF THE PERSON OR GROUP OF PERSONS WHO EXERCISE CONTROL OF THE COMPANY, AS WELL AS THE TRANSMISSION OF SHARES FOR MORE THAN TWO PERCENT OF THE PAID-IN CAPITAL, AS APPLICABLE, CONTEMPLATED IN THE GENERAL PROVISIONS INDICATED

Article 1.- This Resolution aims to establish the information and electronic means
by which entities, societies and persons must report the composition and changes of their Committee, the designation or revocation of the Compliance Officer, Representative or Interim Compliance Officer, the information on the identity of the person or group of persons who exercise control of the company, as well as the transmission of shares for more than two percent of the paid-in capital, as applicable, in accordance with what is provided in the Provisions.

Article 2.- For the purposes of this Resolution, the definitions established in the
General Provisions on the prevention of operations with resources of illicit origin and financing of terrorism applicable to the entities, societies and persons regulated herein shall apply, in addition to the following which may be used in singular or plural:

I.

Certificate, to the document referred to in article 2, section I of the General Provisions for the certification of independent external auditors, compliance officers and other professionals in matters of prevention of operations with resources of illicit origin and financing of terrorism.

II.

CURP, to the Unique Population Registry Key.

III.

Provisions, to the 47th and 49th of the General Provisions referred to in article 212 of the Securities Market Law, published in the Official Gazette of the Federation on September 9, 2010 and their respective modifications; 37th, 39th and 52nd of the General Provisions referred to in article 95 of the General Law of Credit Institutions and Auxiliary Credit Activities applicable to exchange houses, published in the Official Gazette of the Federation on September 25, 2009 and their respective modifications; 33rd, 35th and 50th of the General Provisions referred to in article 95 Bis of the General Law of Credit Institutions and Auxiliary Credit Activities applicable to currency centers referred to in article 81-A of the same instrument, published in the Official Gazette of the Federation on April 10, 2012 and their respective modifications; 35th, 37th and 53rd of the General Provisions referred to in article 95 Bis of the General Law of Credit Institutions and Auxiliary Credit Activities applicable to money transmitters referred to in article 81-A Bis of the same instrument, published in the Official Gazette of the Federation on April 10, 2012 and their respective modifications; 37th and 39th of the General Provisions referred to in article 95 of the General Law of Credit Institutions and Auxiliary Credit Activities applicable to general warehouses, published in the Official Gazette of the Federation on December 31, 2014 and their respective modifications; 46th and 48th of the General Provisions referred to in the
article 115 of the Credit Institutions Law, published in the Official Gazette of the Federation on
April 20, 2009 and their respective modifications; 49th, 51st and 66th of the General Provisions referred to in article 124 of the Popular Savings and Credit Law, published in the Official Gazette of the Federation on December 31, 2014 and their respective modifications; 38th, 40th and 53rd of the General Provisions referred to in articles 115 of the Credit Institutions Law in relation to article 87-D of the General Law of Credit Institutions and Auxiliary Credit Activities and 95-Bis of this latter instrument, applicable to multiple-object financial societies, published in the Official Gazette of the Federation on March 17, 2011 and their respective modifications; 37th and 39th of the General Provisions referred to in article 129 of the Credit Unions Law, published in the Official Gazette of the Federation on October 26, 2012 and their respective modifications; 40th and 43rd of the General Provisions referred to in article 91 of the Investment Funds Law, published in the Official Gazette of the Federation on December 31, 2014 and their respective modifications; 50th and 52nd of the General Provisions referred to in articles 71 and 72 of the Law to Regulate the Activities of Savings and Loan Cooperative Societies, published in the Official Gazette of the Federation on December 31, 2014 and their respective modifications; 31st of the General Provisions referred to in article 226 Bis of the Securities Market Law, applicable to investment advisors, published in the Official Gazette of the Federation on December 31, 2014 and their respective modifications and, 35th and 37th of Agreement 04/2015 by which the General Provisions referred to in article 60 of the Organic Law of the National Financial Development Bank for Agriculture are issued, Rural, Forestry and Fisheries, published in the Official Gazette of the Federation on April 2, 2015.

IV.

Representative, to the representatives referred to in the 30th of the General Provisions referred to in article 226 Bis of the Securities Market Law, applicable to investment advisors, published in the Official Gazette of the Federation on December 31, 2014 and their respective modifications, and the 42nd of the General Provisions referred to in the
article 91 of the Investment Funds Law, published in the Official Gazette of the Federation on December 31
2014 and their respective modifications.

V.

RFC, to the Federal Taxpayer Registry.

VI.

SITI PLD/FT, to the Interinstitutional Information Transfer System.

Article 3.- The official format, as well as the specifications for its completion and submission contained in the
respective instruction, through which the entities and societies subject to compliance with the Provisions must communicate to the Ministry the initial composition, addition or substitution of the Committee, will be those available for such purposes in the notices section of the SITI PLD/FT portal on the worldwide network called the Internet.

Regarding this, said entities and societies must provide the following information for each of the members of said Committee, as well as, if applicable, their respective substitutes:

1.

Area designated to be part of it.

2.

Position held by the person within the Committee.

3.

Indication of whether they are titular or substitute.

4.

Full name with surnames and without abbreviations.

5.

RFC.

6.

CURP.

7.

Position held within the company or entity.

8.

Indication if the member is the Compliance Officer.

9.

Date of designation as a member of the Committee.

10.

Indication if the member is currently active.

11.

Date of substitution, in case the member is no longer active.

12.

Certificate number, if applicable.

In case of being in the exception scenario for the composition of the Committee in accordance with the Provisions, only this situation must be reported.

Article 4.- The official format, as well as the specifications for its completion and submission contained in the
respective instruction, through which the entities, societies and persons subject to compliance with the Provisions must communicate to the Ministry the designation or revocation of their Compliance Officer, Representative or Interim Compliance Officer, as applicable, will be those available for such purposes in the notices section of the SITI PLD/FT portal on the worldwide network called the Internet.

Regarding this, said entities, societies and persons must provide the following information:

1.

Title or profession.

2.

Full name with surnames and without abbreviations.

3.

RFC.

4.

CURP.

5.

Date of appointment as Compliance Officer or Interim Compliance Officer.

6.

Telephone and email.

7.

Position held within the company.

8.

Indication of whether the person exercises only the function of Compliance Officer, or if they also exercises the functions of the Committee.

9.

Certificate number, if applicable.

In case of revocation, the remaining information indicated in the instruction must be provided.

Likewise, the digitized file of the document or documents that accredit the respective designation or revocation must be provided, in accordance with the specifications indicated in the SITI PLD/FT.

Article 5.- The official format, as well as the specifications for its completion and submission contained in the
respective instruction, through which exchange houses, currency centers, multiple-object financial societies, popular financial societies with operation levels I to IV, community financial societies with operation levels I to IV, rural financial integration organizations, savings and loan cooperative societies with operation levels I to IV, and money transmitters must report the identity of the person or group of persons who exercise control of the company, will be those available for such purposes in the notices section of the SITI PLD/FT portal on the worldwide network called the Internet.

The entities and societies mentioned in the previous paragraph must provide the following information for each person or group of persons who exercise control of said entities or societies:

A.

For the case of natural persons:

1.

CURP.

2.

RFC.

3.

Full name with surnames and without abbreviations.

4.

Position within the entity or company.

5.

Nationality.

6.

The type of control exercised, in accordance with what is established in the Provisions.

7.

Date on which the partners or shareholders informed the administration of the entity or company of the identity of the person who exercises control.

8.

If they are part of a group of persons who exercise control of the entity or company itself.

9.

Percentage of shareholding, if applicable.

B.

For the case of legal entities:

1.

RFC.

2.

Trade name or denomination.

3.

Date of constitution.

4.

Nationality.

5.

The type of control exercised, in accordance with what is established in the Provisions.

6.

Date on which the partners or shareholders informed the administration of the entity or company of the identity of the person who exercises control.

7.

If they are part of a group of persons who exercise control of the entity or company itself.

8.

Percentage of shareholding, if applicable.

Article 6.- The official format, as well as the specifications for its completion and submission contained in the
respective instruction, through which exchange houses, currency centers, multiple-object financial societies and money transmitters must report the transmission of shares or partnership interests, if applicable, for more than two percent of the paid-in capital, will be those available for such purposes in the notices section of the SITI PLD/FT portal on the worldwide network called the Internet.

The entities and societies referred to in this article must report the following:

1.

The date of registration in the registry referred to in article 128 of the General Law of Commercial Societies of the share transmission.

2.

Percentage of shareholding transferred.

3.

Regarding the transferor and transferee of shares, indicate the following:

A.

For the case of natural persons:

1.

CURP.

2.

RFC.

3.

Full name with surnames and without abbreviations.

4.

Nationality.

B.

For the case of legal entities:

1.

RFC.

2.

Trade name or denomination.

3.

Nationality.

4.

Date of constitution.

Article 7.- The information referred to in the official formats mentioned above must be
sent only once in accordance with the deadlines, terms and conditions provided for in the Provisions and will be received under the assumption that the sending meets all the required characteristics, by virtue of which it cannot be modified. Consequently, the SITI PLD/FT will generate an electronic receipt in which the name of the entity, company or name of the person subject to compliance with the Provisions, folio number, type of information, as well as date and time of receipt will be recorded.

Such entities, societies, and persons shall be responsible for sending the information in question, as well as for ensuring that it meets the quality and characteristics required.

Article 8.- The entities, societies, and persons subject to compliance with the Provisions
shall communicate the information indicated in this Resolution through the Compliance Officer, Representative, or Interim Compliance Officer, as applicable.

TRANSITIONAL PROVISIONS

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

SECOND.- The "Resolution by which the information is issued and the electronic means are made known to communicate the composition and changes of the Communication and Control Committee, to inform of the official designated as compliance officer, to remit information on the identity of the person or group of persons who exercise control of the society, as well as by which to inform of the transmission of shares for more than two percent of the paid-in capital, as applicable, contemplated in the general provisions indicated," as well as the "Resolution by which the official format is issued and the electronic means are made known to communicate the information of the person designated as representative or, as the case may be, compliance officer, contemplated in the general provisions referred to in Article 226 Bis of the Securities Market Law, applicable to investment advisors," published in the Official Journal of the Federation on February 7, 2013, and July 26, 2016, respectively, are hereby repealed.

THIRD.- The entities, societies, and persons subject to compliance with the Provisions shall provide the information regarding the composition of their respective Committees, as well as the designation or revocation of their respective Compliance Officers, Representatives, or Interim Compliance Officers in the official format and through the electronic means made known with this Resolution, starting from June 1, 2020.

FOURTH.- The information regarding the identity of the person or group of persons who exercise control of the society, and the transmission of shares for more than two percent of its paid-in capital, shall be sent in the official format and through the electronic means made known with this Resolution, starting from June 1, 2020.

Mexico City, April 3, 2020.- The Head of the Financial Intelligence Unit of the Secretariat of Finance and Public Credit, Santiago Nieto Castillo. - Signature.

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