Resolution establishing official formats to report the designation of the Compliance Officer, the composition of the Communication and Control Committee, and relevant, unusual, and internal concerning operations — SHCP — MX

DOF: 24/03/2020

RESOLUTION establishing the official formats to report the designation of the Compliance Officer, the composition of the Communication and Control Committee, and to report relevant, unusual, and internal concerning operations, in terms of articles 48, 53, 66, 69 and 75 of the General Provisions referred to in article 58 of the Law to Regulate Financial Technology Institutions, and announcing the electronic medium for the submission of said formats.

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

Finance and Public Credit.

RESOLUTION ESTABLISHING THE OFFICIAL FORMATS TO REPORT THE DESIGNATION OF THE

COMPLIANCE OFFICER, THE COMPOSITION OF THE COMMUNICATION AND CONTROL COMMITTEE AND TO

REPORT RELEVANT, UNUSUAL AND INTERNAL CONCERNING OPERATIONS, IN TERMS OF THE

ARTICLES 48, 53, 66, 69 AND 75 OF THE GENERAL PROVISIONS REFERRED TO IN

ARTICLE 58 OF THE LAW TO REGULATE FINANCIAL TECHNOLOGY INSTITUTIONS, AND ANNOUNCING THE

ELECTRONIC MEDIUM FOR THE SUBMISSION OF SAID FORMATS.

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

Finance and Public Credit, in accordance with the provisions of article 4 of the Federal Administrative Procedure Law, articles 14 and 15, sections I, II and III of the Federal Law for the Prevention and Identification of Operations with Resources of Illicit Origin, based on article 58 of the Law to Regulate Financial Technology Institutions; as well as in articles 48, 53, 66, 69, 75 and Third Transitory of the General Provisions referred to in article 58 of the Law to Regulate Financial Technology Institutions, applicable to Financial Technology Institutions, published in the Official Gazette of the Federation on September 10, 2018; and in exercise of the power conferred upon me by section IV of article 15, in relation to article 4, second paragraph of the Internal Regulations of the Ministry of

Finance and Public Credit, and

CONSIDERING

That on March 9, 2018, the Federal Executive published in the Official Gazette of the Federation the Law to Regulate Financial Technology Institutions, with the aim of regulating and providing legal certainty to the financial services provided through financial technologies known as Financial Technology Institutions (ITF);

That in accordance with articles 14 and 15 of the Federal Law for the Prevention and Identification of Operations with Resources of Illicit Origin, the acts, operations and services carried out by financial entities in accordance with the laws applicable to each of them are considered Vulnerable Activities in terms of said Law, so measures and procedures must be established to prevent and detect acts, omissions or operations that could fall under the circumstances provided for in the Second Chapter of Title Twenty-Third of the Federal Penal Code, as well as to identify their clients and users in accordance with article 58 of the Law to Regulate Financial Technology Institutions;

That as a result of the foregoing, financial entities will have, among other obligations, the obligation to submit reports on acts, operations and services carried out with their clients and carried out by members of the administrative board, attorneys, executives and employees of the entity, in the terms established in the laws and general provisions that specifically regulate them;

That in accordance with article 58 of the Law to Regulate Financial Technology Institutions,

ITFs are obligated to submit to the Ministry of Finance and Public Credit, through the National Banking and Securities Commission, at least, reports on operations that are considered

as relevant, internal concerning and unusual, in accordance with the General Provisions issued for that purpose;

That in terms of article 4 of the Federal Administrative Procedure Law, administrative acts of a general nature, such as regulations, decrees, agreements, and formats, as well as guidelines, criteria, methodologies, instructions, directives, rules, manuals, provisions that have as their object to establish specific obligations when there are no conditions of competition and any of an analogous nature, that are issued by the dependencies and decentralized bodies of the federal public administration, must be published in the Official Gazette of the Federation to produce legal effects;

That on September 10, 2018, the General Provisions referred to in article 58 of the Law to Regulate Financial Technology Institutions were published in the Official Gazette of the Federation, in which, in addition to defining the operations that must be considered as relevant, unusual and internal concerning, it establishes in the third transitory that reports of said operations, among others, must be sent to the authority from the moment the Ministry of Finance and Public Credit determines the means and issues the corresponding official formats, in which the respective deadlines for compliance are established;

That in accordance with articles 48 and 53 of the General Provisions mentioned in the previous paragraph, the Ministry of Finance and Public Credit must issue the official formats, as well as indicate the terms and specifications so that ITFs send to that Dependency, the information on the initial integration of their Communication and Control Committee, as well as the addition or substitution of its members and the designation of the Compliance Officer and its revocation;

That in accordance with articles 66, 69 and 75 of the same General Provisions mentioned in the previous paragraph, ITFs must send to the Ministry of Finance and Public Credit, through the National Banking and Securities Commission, the corresponding report on the relevant operations carried out in the corresponding quarter, as well as the unusual and internal concerning operations that are detected and determined by the Communication and Control Committee;

That the Ministry of Finance and Public Credit has complied with what is established in article 78 of the General Law of Regulatory Improvement, as well as in Article Fifth of the "Agreement that establishes the guidelines that must be observed by the dependencies and decentralized bodies of the Federal Public Administration, regarding the issuance of general administrative acts to which article 69-H of the Federal Administrative Procedure Law applies", with simplification actions consisting of the reduction of the response time for the SHCP-05-010 procedure, which are

detailed in the corresponding Regulatory Impact Analysis;

That the Financial Intelligence Unit, in exercise of its powers conferred by article 15,

section IV of the Internal Regulations of the Ministry of Finance and Public Credit determined, in coordination

with the National Banking and Securities Commission, the official formats for the submission of information

on operations considered as relevant, unusual and internal concerning, as well as for

reporting the designation of the Compliance Officer and its revocation and, if applicable, the composition of the Communication

and Control Committee as well as the addition and substitution of its members;

That the National Banking and Securities Commission as a decentralized supervisory body has the

Interinstitutional Information Transfer System (SITI), through which ITFs must give

compliance to the presentation of relevant, unusual and internal concerning reports and inform the

designation of their Compliance Officer and composition of the Communication and Control Committee, since that

system is enabled for the receipt of such information, with which the existing technological capabilities

will be used to give greater speed to the information reception process, without that

generating costs or new regulatory burdens for ITFs;

That in terms of article 4 of the Federal Administrative Procedure Law, administrative acts

of a general nature, such as formats, that have as their object to establish specific obligations, and that

are issued by the dependencies of the federal public administration, must be published in the Official Gazette of the

Federation to produce legal effects, and

That once the opinion of the National Banking and Securities Commission has been heard, issued through Office

number DGPORPIA/74940/2019 dated January 9, 2020, the following is issued:

RESOLUTION ESTABLISHING THE OFFICIAL FORMATS TO REPORT THE DESIGNATION OF THE

COMPLIANCE OFFICER, THE COMPOSITION OF THE COMMUNICATION AND CONTROL COMMITTEE AND TO

REPORT RELEVANT, UNUSUAL AND INTERNAL CONCERNING OPERATIONS, IN TERMS OF THE

ARTICLES 48, 53, 66, 69 AND 75 OF THE GENERAL PROVISIONS REFERRED TO IN

ARTICLE 58 OF THE LAW TO REGULATE FINANCIAL TECHNOLOGY INSTITUTIONS, AND ANNOUNCING THE

ELECTRONIC MEDIUM FOR THE SUBMISSION OF SAID FORMATS.

Article 1.- This Resolution aims to establish the official formats and the electronic

medium through which Financial Technology Institutions must send to the Unit

of Financial Intelligence of the Ministry of Finance and Public Credit, through the National Banking

and Securities Commission, the designation of the Compliance Officer as well as its revocation, the composition of the

Communication and Control Committee and its modifications, as well as the reports of operations considered

as relevant, unusual and internal concerning, in accordance with what is established in articles 48,

53, 66, 69 and 75 of the General Provisions referred to in article 58 of the Law to regulate

Financial Technology Institutions.

Article 2.- For the purposes of this Resolution, the definitions established in the

General Provisions referred to in article 58 of the Law to regulate Financial Technology

Institutions will apply, in addition to the following, which may be used in singular or plural:

I. Commission, the National Banking and Securities Commission.

II. SITI PLD/FT Single Account, the electronic account provided by the Commission with which ITFs

will have access to the SITI portal in order to comply with their obligations in matters of prevention of

operations with resources of illicit origin and financing of terrorism;

III. Provisions, the General Provisions referred to in article 58 of the Law for

regulating Financial Technology Institutions, published in the Official Gazette of the Federation on September 10

of 2018 and its subsequent modifications;

IV. Instruction, the document issued by the Unit and made known to ITFs by means of the Commission through

the SITI, in which the validation rules and the necessary catalogs for filling out the Layouts are established.

V. ITF, the Financial Technology Institutions regulated by the Law, which are the institutions

of collective financing and electronic payment fund institutions;

VI. Layout, the electronic formats referred to in article 6 of this Resolution;

VII. Law, the Law to regulate Financial Technology Institutions;

VIII. SITI, the electronic system called Interinstitutional Information Transfer System

administered by the National Banking and Securities Commission and enabled for ITFs to send the reports

of relevant, unusual, internal concerning operations and inform the designation of the compliance officer

as well as the composition of the Communication and Control Committee.

IX. Unit, the Financial Intelligence Unit of the Ministry of Finance and Public Credit.

Article 3.- The official format through which ITFs must communicate to the Ministry the designation of

their Compliance Officer and its revocation in accordance with articles 49, 52 and 53 of the Provisions, as

well as the specification for its filling and submission, will be the one available for such purpose in the SITI on the

worldwide network known as the Internet, to which one can enter through the electronic address https://www.gob.mx/cnbv.

Regarding this, the following information about the Compliance Officer must be provided:

Title or profession;
Full name with surnames and without abbreviations;
Federal Taxpayer Registry (RFC);
Unique Population Registry Key (CURP);
Date of appointment as Compliance Officer;
Phone and email;
Position held within the company;
Indication if the person exercises only the function of Compliance Officer or if they also exercise

the functions of the Committee; and

Number of certificate issued by the Commission

In the case where the revocation of the Compliance Officer is reported, the following information must be provided:

Federal Taxpayer Registry (RFC);
Unique Population Registry Key (CURP);
Email;
Full name with surnames and without abbreviations;
Date of revocation of the Compliance Officer;
Cause of the revocation.

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.

Article 4.- The official format by which ITFs must communicate to the Ministry, the initial integration and the

changes in the members of the Communication and Control Committee in accordance with article 48 of the

Provisions, as well as the specification for its filling and submission, will be the one available for such purpose

in the SITI on the worldwide network known as the Internet, to which one can enter through the electronic address

https://www.gob.mx/cnbv.

For the purposes of the foregoing, the following information must be provided for each of the members

of the Communication and Control Committee:

Area designated to be part of it;
Position held by the person within the Committee;
Indication of whether they are titular or substitute;
Full name with surnames and without abbreviations;
Federal Taxpayer Registry (RFC);
Unique Population Registry Key (CURP);
Position held within the company;
Indication if the member is the Compliance Officer;
Date of appointment as a member of the Committee, or
Indication if the member is currently active, and
In its case, date of substitution, in the case where the member is no longer active.

Article 5.- The information referred to in the official formats mentioned in articles 3 and 4

above, must be sent in accordance with the deadlines, terms and conditions provided in the Provisions, and will be

received under the assumption that the submission meets all the required characteristics. Consequently, the

SITI will generate an electronic receipt in which the corporate name of the ITF,

CASFIM, folio number, type of information, as well as date and time of receipt will be recorded.

ITFs will be responsible for the submission of the information in question, as well as for ensuring that it meets the

quality and characteristics required.

Article 6.- ITFs must send to the Unit, through the Commission, a report for each

operation considered as relevant, unusual and internal concerning, using for such purpose the Layouts

attached to this Resolution and in accordance with the Instruction for its filling that the Commission makes known through the SITI system, as follows:

Unusual Operation Report, taking into account Annex "A",

Internal Concerning Operation Report, taking into account Annex "B", and c)

Relevant Operation Report, taking into account Annex "C".

Article 7.- ITFs that have the authorization referred to in article 45 of the Law and have not

carried out relevant operations during the corresponding period, must send the respective report

in accordance with article 6 of this Resolution, registering the corresponding information up to field 1.3

"KEY OF THE OBLIGATED SUBJECT", using for such purpose the Layout attached to this

Resolution as Annex C and the Instruction for its filling that the Commission makes known through the

SITI system.

Until ITFs do not have the authorization provided for in article 45 of the Law, they will not be obligated to

present the report mentioned in the previous paragraph.

Article 8.- ITFs will present the reports mentioned in articles 6 and 7 above, in the

terms and periodicity established in the Provisions, by transmitting them electronically through the SITI system to the Commission, using an XML file with the file extension .ITFI in the case of unusual operations, file extension .ITFP for internal concerning operations and extension

.ITFR for relevant operations, the transmission system generating an electronic receipt in which the name of the ITF, folio number, type of report, submission period, date and

time of receipt, as well as the total number of records received will be recorded.

The information contained in said reports must be sent only once, complying with the rules of

validation that are established in the Instruction

for its filling that the Commission makes known through the

SITI system, by virtue of which once the report is sent it cannot be modified.

Article 9.- ITFs must keep the confidentiality and secrecy of their Clients' information in

terms of the Provisions, and will be responsible for ensuring that it is sent in terms of this

Resolution, that it meets the quality and characteristics required in accordance with the Layouts attached to this

Resolution and the Instruction for its filling.

Article 10.- The Unit, through the Commission, must provide the Instruction for the filling of

the Layouts and the catalogs provided for therein, so that ITFs capture the corresponding information related

to the reports referred to in articles 6 and 7 of this Resolution.

Article 11.- ITFs will send the information and present the reports referred to in this

Resolution through the Compliance Officer, for which they must obtain the SITI PLD/FT Single Account in accordance with the mechanism indicated in the SITI.

ANNEX "A"

NO.

FIELD NAME

XML TAG

OBLIGATORY

DATA TYPE

LENGTH

FORMAT

XML File

Mandatory

Tag

N/A

Obligated Subject

<sujeto_obligado>

Mandatory

Tag

N/A

1.1

Supervisory Body

<organo_supervisor>

Mandatory

Alphanumeric

Pattern: 999

1.2

Type of ITF

<tipo_itf>

Mandatory

Alphanumeric

Pattern: 99

1.3

Key of the obligated subject

<clave_sujeto>

Mandatory

Alphanumeric

Pattern: 99-9999

Reports

Mandatory

Tag

N/A

2.1

Report

Mandatory

Tag

N/A

2.1.1

Type of report

<tipo_reporte>

Mandatory

Numeric

Pattern:

2.1.2

Date of report

<fecha_reporte>

Mandatory

Numeric

Date format is

YYYYMMDD (8)

2.1.3

Consecutive folio

<folio_consecutivo>

Mandatory

Alphanumeric

Pattern:

999999

(with

zeros to the

left)

2.1.4

Account

Mandatory

Tag

N/A

2.1.4.1

Regime

Mandatory

Numeric

Pattern: 9

2.1.4.2

Account level

<nivel_cuenta>

Mandatory

Numeric

Pattern: 9

2.1.4.3

Account number or

project

<numero_cuenta_proyecto>

Mandatory

Alphanumeric

1-18

N/A

2.1.4.4

Nationality of the associated

account of a

financial institution

<nacionalidad_cuenta_asociada>

Mandatory

Alphanumeric

Pattern: 999

2.1.4.5

Financial institution to which

the account number or associated

CLABE belongs

<institucion_financiera>

Mandatory

Alphanumeric

6-40

N/A

2.1.4.6

Account number or

associated CLABE account

of a financial

institution

<cuenta_asociada_institucion>

Mandatory

Alphanumeric

1-18

N/A

2.1.4.7

Type of collective financing

<tipo_financiamiento_colectivo>

Mandatory

Numeric

Pattern: 9

2.1.5

Client

Mandatory

Tag

N/A

2.1.5.1

Type of person

<tipo_persona>

Mandatory

Numeric

Pattern: 9

2.1.5.2

Type of client

<tipo_cliente>

Mandatory

Numeric

Pattern: 9

2.1.5.3

Country code nationality

<pais_nacionalidad>

Mandatory

Alphanumeric

Pattern: 999

2.1.5.4

Corporate name or

denomination

<razon_social_denominacion>

Mandatory

Alphanumeric

2-60

N/A

2.1.5.5

Name

Mandatory

Alphanumeric

3-60

N/A

2.1.5.6

Paternal surname

<apellido_paterno>

Mandatory

Alphanumeric

3-60

N/A

2.1.5.7

Maternal surname

<apellido_materno>

Mandatory

Alphanumeric

3-60

N/A

2.1.5.8

Gender

Mandatory

Numeric

Pattern: 9

2.1.5.9

Client RFC

<rfc_cliente>

Mandatory

Alphanumeric

12-13

Pattern:

LLLAAMMDDC

LLLLAAMMDDC

2.1.5.10

CURP

<curp>

Mandatory

Alphanumeric

Pattern:

LLLLAAMMDDG

EFCCC99

2.1.5.11

Date of birth or

constitution

<fecha_nacimiento_constitucion>

Mandatory

Numeric

Format:

YYYYMMDD (8)

2.1.5.12

State of birth or

constitution

<entidad_nacimiento_constitucion>

Mandatory

Alphanumeric

Pattern: 99

2.1.5.13

Client address

<domicilio_cliente>

Mandatory

Tag

N/A

2.1.5.13.1

State of

address

<entidad_federativa_domicilio>

Mandatory

Alphanumeric

Pattern: 99

2.1.5.13.2

Street of address

<calle_domicilio>

Mandatory

Alphanumeric

4-60

N/A

2.1.5.13.3

Neighborhood

Mandatory

Alphanumeric

Pattern: 9999

2.1.5.13.4

City or population

<ciudad_poblacion>

Mandatory

Alphanumeric

Pattern: 999

2.1.5.13.5

Postal code

<codigo_postal>

Mandatory

Alphanumeric

Pattern: 99999

2.1.5.14

Phone

Mandatory

Alphanumeric

8-40

N/A

2.1.5.15

<correo_electronico>

Mandatory

Alphanumeric

5-60

N/A

2.1.5.16

Economic activity

<actividad_economica>

Mandatory

Alphanumeric

Pattern: 9999999

2.1.6

Operation

Mandatory

Tag

N/A

2.1.6.1

Type of ITF operation

<tipo_operacion_itf>

Mandatory

Alphanumeric

Pattern: 99

2.1.6.2

Monetary instrument of

the operation

<instrumento_monetario>

Mandatory

Alphanumeric

Pattern: 99

2.1.6.3

Amount of the operation

<monto>

Mandatory

Alphanumeric

4-17

Format:

digits with

mandatory decimals

(999999999999

99.99)

2.1.6.4

Currency of the operation

Mandatory

Alphanumeric

N/A

2.1.6.5

Date of the operation

<fecha_operacion>

Mandatory

Numeric

Date format is

YYYYMMDD (8)

2.1.6.6

Date of detection of the

operation

<fecha_deteccion>

Mandatory

Numeric

Date format is

YYYYMMDD (8)

2.1.7

Representative

Mandatory

Label

N/A

2.1.7.1

Legal representative, administrator name

<nombre_apoderado>

Mandatory

Alphanumeric

3-60

N/A

2.1.7.2

Paternal surname

<apellido_paterno_apoderado>

Mandatory

Alphanumeric

3-60

N/A

2.1.7.3

Maternal surname

<apellido_materno_apoderado>

Mandatory

Alphanumeric

3-60

N/A

2.1.8

Analysis

Mandatory

Label

N/A

2.1.8.1

Description of the operation

<descripcion_operacion>

Mandatory

Alphanumeric

4-4000

N/A

2.1.8.2

Reasons why the act or operation is considered unusual

<razon_inusual>

Mandatory

Alphanumeric

4-4000

N/A

2.1.8.3

Transaction profile start date

<fecha_inicio_perfil>

Mandatory

Numeric

Format:

YYYYMMDD, (8)

2.1.8.4

Transaction profile end date

<fecha_fin_perfil>

Mandatory

Numeric

Date format is

YYYYMMDD (8)

2.1.8.5

Total amount operated profile

<monto_total_perfil>

Mandatory

Alphanumeric

4-17

Format:

14 digits with 2 decimal places mandatory

(999999999999 99.99)

2.1.8.6

Currency of the transaction profile

<moneda_perfil>

Mandatory

Alphanumeric

N/A

2.1.8.7

Number of operations

<numero_operaciones>

Mandatory

Numeric

Pattern: 99999

2.1.8.8

Type of ITF operation of the transaction profile

<tipo_operacion_perfil>

Mandatory

Alphanumeric

Pattern: 99

2.1.8.9

Report priority

<prioridad_reporte>

Mandatory

Alphanumeric

Pattern: 99

2.1.8.10

Alert

Mandatory

Alphanumeric

5-80

N/A

2.1.9

ITF Counterparty type 01 (Collective Financing Institution)

<contraparte_ifcolectivo>

Mandatory

Label

N/A

2.1.9.1

ITF Counterparty type 01 and client type is 2 (Applicant)

Mandatory

Label

N/A

2.1.9.1.1

Number of investors

<numero_inversionistas>

Mandatory

Numeric

Format: 999

2.1.9.1.2

Investor

Mandatory

Label

N/A

2.1.9.1.2.1

Type of investor person

<tipo_persona_inversionista>

Mandatory

Numeric

Pattern: 9

2.1.9.1.2.2

Trade name or name of the investor

<razon_denominacion_inversionista>

Mandatory

Alphanumeric

2-60

N/A

2.1.9.1.2.3

Investor name

<nombre_inversionista>

Mandatory

Alphanumeric

3-60

N/A

2.1.9.1.2.4

Paternal surname of the investor

<apellido_paterno_inversionista>

Mandatory

Alphanumeric

3-60

N/A

2.1.9.1.2.5

Maternal surname of the investor

<apellido_materno_inversionista>

Mandatory

Alphanumeric

3-60

N/A

2.1.9.2

ITF Counterparty type 01 and client type is 1 (Investor)

Mandatory

Label

N/A

2.1.9.2.1

Type of person applicant for resources

<tipo_persona_solicitante>

Mandatory

Numeric

Pattern:9

2.1.9.2.2

Trade name or name of the applicant for resources

<razon_denominacion_solicitante>

Mandatory

Alphanumeric

2-60

N/A

2.1.9.2.3

Name of the applicant for resources

<nombre_solicitante>

Mandatory

Alphanumeric

3-60

N/A

2.1.9.2.4

Paternal surname of the applicant for resources

<apellido_paterno_solicitante>

Mandatory

Alphanumeric

3-60

N/A

2.1.9.2.5

Maternal surname of the applicant for resources

<apellido_materno_solicitante>

Mandatory

Alphanumeric

3-60

N/A

2.1.10

ITF Counterparty type 02 (Electronic Payment Funds Institution)

<contraparte_ifpago_electronico>

Mandatory

Label

N/A

2.1.10.1

Type of person of the counterparty of the operation

<tipo_persona_contraparte>

Mandatory

Numeric

Pattern:9

2.1.10.2

Trade name or name of the counterparty of the operation

<razon_denominacion_contraparte>

Mandatory

Alphanumeric

2-60

N/A

2.1.10.3

Name of the counterparty of the operation

<nombre_contraparte>

Mandatory

Alphanumeric

3-60

N/A

2.1.10.4

Paternal surname of the counterparty of the operation

<apellido_paterno_contraparte>

Mandatory

Alphanumeric

3-60

N/A

2.1.10.5

Maternal surname of the counterparty of the operation

<apellido_materno_contraparte>

Mandatory

Alphanumeric

3-60

N/A

2.1.10.6

Nationality of the account of the counterparty with whom the operation was carried out

<nacionalidad_cuenta_contraparte>

Mandatory

Alphanumeric

Pattern: 999

2.1.10.7

Financial institution of the counterparty of the operation

<institucion_financiera_contraparte>

Mandatory

Alphanumeric

6-40

N/A

2.1.10.8

Associated account number of a financial institution of the counterparty of the operation

<cuenta_clabe_contraparte>

Mandatory

Alphanumeric

1-18

N/A

ANNEX "B"

NO.

FIELD NAME

XML LABEL

MANDATORY

DATA TYPE

LENGTH

FORMAT

XML File

Mandatory

Label

N/A

Obligated Subject

<sujeto_obligado>

Mandatory

Label

N/A

1.1

Supervisory Body

<organo_supervisor>

Mandatory

Alphanumeric

Pattern: 999

1.2

Type of ITF

<tipo_itf>

Mandatory

Alphanumeric

Pattern: 99

1.3

Obligated Subject Key

<clave_sujeto>

Mandatory

Alphanumeric

Pattern: 99- 999 9

Reports

Mandatory

Label

N/A

2.1

Report

Mandatory

Label

N/A

2.1.1

Report Type

<tipo_reporte>

Mandatory

Numeric

Pattern: 9

2.1.2

Report Date

<fecha_reporte>

Mandatory

Numeric

Date format is

YYYYMMDD

(8)

2.1.3

Consecutive Folio

<folio_consecutivo>

Mandatory

Alphanumeric

Pattern:

999999 (with zeros to the left)

2.1.4

Employee

Mandatory

Label

N/A

2.1.4.1

Nationality country key

<pais_nacionalidad>

Mandatory

Alphanumeric

Pattern: 999

2.1.4.2

Name

Mandatory

Alphanumeric

3-60

N/A

2.1.4.3

Paternal surname

<apellido_paterno>

Mandatory

Alphanumeric

3-60

N/A

2.1.4.4

Maternal surname

<apellido_materno>

Mandatory

Alphanumeric

3-60

N/A

2.1.4.5

Gender

Mandatory

Numeric

Pattern:9

2.1.4.6

RFC

<rfc>

Mandatory

Alphanumeric

Pattern:

LLLLAAMMDD

CCC

2.1.4.7

CURP

<curp>

Mandatory

Alphanumeric

Pattern:

LLLLAAMMDD

GEFCCC99

2.1.4.8

Date of birth

<fecha_nacimiento>

Mandatory

Numeric

Format:

YYYYMMDD

(8)

2.1.4.9

Federative entity of birth

<entidad_nacimiento>

Mandatory

Alphanumeric

Pattern:99

2.1.4.10

Employee Address

<domicilio_empleado>

Mandatory

Label

N/A

2.1.4.10.1

Federative entity of the address

<entidad_federativa_domicilio>

Mandatory

Alphanumeric

Pattern:99

2.1.4.10.2

Street of the address

<calle_domicilio>

Mandatory

Alphanumeric

4-60

N/A

2.1.4.10.3

Neighborhood

Mandatory

Alphanumeric

Pattern: 9999

2.1.4.10.4

City or town

<ciudad_poblacion>

Mandatory

Alphanumeric

Pattern:999

2.1.4.10.5

Postal code

<codigo_postal>

Mandatory

Alphanumeric

Pattern: 99999

2.1.4.11

Telephone

Mandatory

Alphanumeric

8-40

N/A

2.1.4.12

Position in the entity

<puesto_entidad>

Mandatory

Alphanumeric

1-60

N/A

2.1.5

Operation

Mandatory

Label

N/A

2.1.5.1

Type of ITF operation

<tipo_operacion_itf>

Mandatory

Alphanumeric

Pattern: 99

2.1.5.2

Monetary instrument of the operation

<instrumento_monetario>

Mandatory

Alphanumeric

Pattern: 99

2.1.5.3

Amount of the operation

<monto>

Mandatory

Alphanumeric

4-17

Format:

14 digits with 2 decimal places mandatory

(99999999999 999.99)

2.1.5.4

Currency of the operation

Mandatory

Alphanumeric

N/A

2.1.5.5

Date of the operation

<fecha>

Mandatory

Numeric

Date format is

YYYYMMDD

(8)

2.1.6

Analysis

Mandatory

Label

N/A

2.1.6.1

Date of detection of the conduct

<fecha_deteccion>

Mandatory

Numeric

Date format is

YYYYMMDD

(8)

2.1.6.2

Description of the employee's profile

<descripcion_perfil_empleado>

Mandatory

Alphanumeric

1-4000

N/A

2.1.6.3

Reasons why it violates the AML/CFT regime

<razones_vulnera_pld>

Mandatory

Alphanumeric

1-4000

N/A

2.1.6.4

Report priority

<prioridad_reporte>

Mandatory

Alphanumeric

Pattern: 99

2.1.7

RELATED CLIENTS

<clientes_relacionados>

Mandatory

Label

N/A

2.1.7.1

RELATED CLIENT

<cliente_relacionado>

Mandatory

Label

N/A

2.1.7.1.1

Type of client person

<tipo_persona_cliente>

Mandatory

Numeric

Pattern: 9

2.1.7.1.2

Trade name or name

<razon_denominacion_cliente>

Mandatory

Alphanumeric

2-60

N/A

2.1.7.1.3

Name of the related client

<nombre_cliente>

Mandatory

Alphanumeric

3-60

N/A

2.1.7.1.4

Paternal surname of the related client

<apellido_paterno_cliente>

Mandatory

Alphanumeric

3-60

N/A

2.1.7.1.5

Maternal surname of the related client

<apellido_materno_cliente>

Mandatory

Alphanumeric

3-60

N/A

2.1.7.1.6

RFC of the related client

<rfc_cliente>

Mandatory

Alphanumeric

12-13

Pattern:

LLLAAMMDD

CCC or

LLLLAAMMDD

CCC

2.1.7.1.7

Client CURP

<curp_cliente>

Mandatory

Alphanumeric

Pattern:

LLLLAAMMDD

GEFCCC99

2.1.7.1.8

Date of birth or incorporation

<fecha_nacimiento_cliente>

Mandatory

Numeric

Format:

YYYYMMDD

(8)

2.1.7.1.9

Account number or project

<numero_cuenta_cliente>

Mandatory

Alphanumeric

1-18

N/A

ANNEX "C"

NO.

FIELD NAME

XML LABEL

MANDATORY

DATA TYPE

LENGTH

FORMAT

XML File

Mandatory

Label

N/A

Obligated Subject

<sujeto_obligado>

Mandatory

Label

N/A

1.1

Supervisory Body

<organo_supervisor>

Mandatory

Alphanumeric

Pattern: 999

1.2

Type of ITF

<tipo_itf>

Mandatory

Alphanumeric

Pattern: 99

1.3

Obligated Subject Key

<clave_sujeto>

Mandatory

Alphanumeric

Pattern: 99- 9999

Reports

Mandatory

Label

N/A

2.1

Report

Mandatory

Label

N/A

2.1.1

Report Type

<tipo_reporte>

Mandatory

Numeric

Pattern: 9

2.1.2

Report Date

<fecha_reporte>

Mandatory

Numeric

Date format is

YYYYMMDD

(8)

2.1.3

Consecutive Folio

<folio_consecutivo>

Mandatory

Alphanumeric

Pattern:

999999 (with zeros to the left)

2.1.4

Account

Mandatory

Label

N/A

2.1.4.1

Regime

Mandatory

Numeric

Pattern:9

2.1.4.2

Account level

<nivel_cuenta>

Mandatory

Numeric

Pattern:9

2.1.4.3

Account number or project

<numero_cuenta_proyecto>

Mandatory

Alphanumeric

1-18

N/A

2.1.4.4

Nationality of the associated account of a financial institution

<nacionalidad_cuenta_asociada>

Mandatory

Alphanumeric

Pattern: 999

2.1.4.5

Financial institution to which the associated CLABE account number belongs

<institucion_financiera>

Mandatory

Alphanumeric

6-40

N/A

2.1.4.6

Account number or associated CLABE account of a financial institution

<cuenta_asociada_institucion>

Mandatory

Alphanumeric

1-18

N/A

2.1.4.7

Type of collective financing

<tipo_financiamiento_colectivo>

Mandatory

Numeric

Pattern: 9

2.1.5

Client

Mandatory

Label

N/A

2.1.5.1

Type of person

<tipo_persona>

Mandatory

Numeric

Pattern: 9

2.1.5.2

Type of client

<tipo_cliente>

Mandatory

Numeric

Pattern: 9

2.1.5.3

Nationality country key

<pais_nacionalidad>

Mandatory

Alphanumeric

Pattern: 999

2.1.5.4

Trade name or name

<razon_social_denominacion>

Mandatory

Alphanumeric

2-60

N/A

2.1.5.5

Name

Mandatory

Alphanumeric

3-60

N/A

2.1.5.6

Paternal surname

<apellido_paterno>

Mandatory

Alphanumeric

3-60

N/A

2.1.5.7

Maternal surname

<apellido_materno>

Mandatory

Alphanumeric

3-60

N/A

2.1.5.8

Gender

Mandatory

Numeric

Pattern:9

2.1.5.9

Client RFC

<rfc_cliente>

Mandatory

Alphanumeric

12-13

Pattern:

LLLLAAMMDD

CCC or

LLLAAMMDD

CCC

2.1.5.10

CURP

<curp>

Mandatory

Alphanumeric

Pattern:

LLLLAAMMDD

GEFCCC99

2.1.5.11

Date of birth or incorporation

<fecha_nacimiento_constitucion>

Mandatory

Numeric

Format:

YYYYMMDD

(8)

2.1.5.12

Federative entity of birth or incorporation

<entidad_nacimiento_constitucion>

Mandatory

Alphanumeric

Pattern:99

2.1.5.13

Client Address

<domicilio_cliente>

Mandatory

Label

N/A

2.1.5.13. 1

Federative entity of the address

<entidad_federativa_domicilio>

Mandatory

Alphanumeric

Pattern:99

2.1.5.13. 2

Street of the address

<calle_domicilio>

Mandatory

Alphanumeric

4-60

N/A

2.1.5.13. 3

Neighborhood

Mandatory

Alphanumeric

Pattern: 9999

2.1.5.13. 4

City or town

<ciudad_poblacion>

Mandatory

Alphanumeric

Pattern:999

2.1.5.13. 5

Postal code

<codigo_postal>

Mandatory

Alphanumeric

Pattern: 99999

2.1.5.14

Telephone

Mandatory

Alphanumeric

8-40

N/A

2.1.5.15

<correo_electronico>

Mandatory

Alphanumeric

5-60

N/A

2.1.5.16

Economic activity

<actividad_economica>

Mandatory

Alphanumeric

Pattern:

9999999

2.1.6

Operation

Mandatory

Label

N/A

2.1.6.1

Type of ITF operation

<tipo_operacion_ift>

Mandatory

Alphanumeric

Pattern: 99

2.1.6.2

Monetary instrument of the operation

<instrumento_monetario>

Mandatory

Alphanumeric

Pattern: 99

2.1.6.3

Amount of the operation

<monto>

Mandatory

Alphanumeric

4-17

Format:

14 digits with 2 decimal places mandatory

(99999999999 999.99)

2.1.6.4

Currency of the operation

Mandatory

Alphanumeric

N/A

2.1.6.5

Date of the operation

<fecha_operacion>

Mandatory

Numeric

Date format is

YYYYMMDD

(8)

2.1.6.6

Date of detection of the operation

<fecha_deteccion>

Mandatory

Numeric

Date format is

YYYYMMDD

(8)

2.1.7

Representative

Mandatory

Label

N/A

2.1.7.1

Legal representative, administrator name

<nombre_apoderado>

Mandatory

Alphanumeric

3-60

N/A

2.1.7.2

Paternal surname

<apellido_paterno_apoderado>

Mandatory

Alphanumeric

3-60

N/A

2.1.7.3

Maternal surname

<apellido_materno_apoderado>

Mandatory

Alphanumeric

3-60

N/A

TRANSITORY PROVISIONS

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

SECOND.- ITFs must provide information regarding the designation of their Compliance Officer and, if applicable, the composition of the Communication and Control Committee, in the official formats and through the electronic means made known with this Resolution, starting from June 1, 2020 and within the period indicated in articles 48 and 53 of the Provisions.

THIRD.- From the date of entry into force of this Resolution, the Commission will make available to ITFs, in electronic version through the SITI system, the Layouts referred to in article 6 of this Resolution, the Instruction for their completion and the catalogs indicated in said Layouts that the Unit provides, and to which they will have access once the SITI PLD/FT Single Account has been requested and granted.

FOURTH.- ITFs will begin to send reports of relevant, unusual, and internally concerning operations, in terms of Title Nine of the Provisions, through their electronic transmission to the Commission, in accordance with what is established in articles 6 and 7 of this Resolution, using for such effect the corresponding Layout and the filling Instruction made known by the Commission, as follows:

a) Within the first ten business days of July 2020 the Relevant Operations Reports corresponding to the first and second quarter of 2020. The reports corresponding to the following quarters, within the first ten business days of January, April, July and October of each year as corresponds, in accordance with what is established in article 66 of the Provisions.

b) Starting from July 1, 2020 the Reports of Unusual and Internally Concerning Operations, that are designated as such starting from the entry into force of this Resolution. Unusual and Internally Concerning Operations that are designated as such after July 1, 2020, will be reported within three business days following said designation, in accordance with what is established in articles 69 and 75 of the Provisions.

Mexico City, March 13, 2020.- The Head of the Financial Intelligence Unit of the Secretariat of Finance and Public Credit, Santiago Nieto Castillo.- Signature.

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