Resolution establishing the official format and electronic means to communicate information on the designated representative or compliance officer for investment advisors

DOF: 26/07/2016

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, in its case, compliance officer, contemplated in the general provisions referred to in Article 226 Bis of the Securities Market Law, applicable to investment advisors.

A seal with the National Coat of Arms is placed at the margin, which reads: United Mexican States.- Ministry of Finance and Public Credit.

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, IN ITS CASE, COMPLIANCE OFFICER, CONTEMPLATED IN THE GENERAL PROVISIONS REFERRED TO IN ARTICLE 226 BIS OF THE SECURITIES MARKET LAW, APPLICABLE TO INVESTMENT ADVISORS.

ALBERTO BAZBAZ SACAL, Head of the Financial Intelligence Unit of the Ministry of Finance and Public Credit, based on Article 226 Bis of the Securities Market Law; as well as on Provision 31st and the Fourth Transitory Provision, both 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 modified on December 29, 2015; and Article 15, fraction IV, of the Internal Regulations of the Ministry of Finance and Public Credit, and

CONSIDERING

That with the aim of meeting international commitments, on January 10, 2014, the "Decree by which various provisions in financial matters are reformed, added, and repealed and the Law to Regulate Financial Groups is issued" was published in the Official Gazette of the Federation, which contemplates modifications, among other laws, to the Securities Market Law, which provides for the addition of Article 226 Bis, which establishes the obligation for Investment Advisors to cooperate with securities market intermediaries in the prevention and detection of acts, omissions, or operations that could favor, provide help, aid, or cooperation of any kind for the commission of the crimes provided for in Articles 139, 139 Quater, and 148 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 in accordance with Article 226 Bis of the Securities Market Law, the "General Provisions referred to in Article 226 Bis of the Securities Market Law, applicable to Investment Advisors" (Provisions) were published in the Official Gazette of the Federation on December 31, 2014, through which the minimum measures and procedures that Investment Advisors are obliged to observe to prevent and detect the acts, omissions, or operations referred to in the previous paragraph were established;

That in accordance with the 31st of the aforementioned Provisions, the Ministry of Finance and Public Credit must issue the official format, as well as indicate the terms and specifications so that the Investment Advisors referred to in said Provisions, through the National Banking and Securities Commission, send to this Department the designation of their Representative or, in its case, Compliance Officer;

That the Financial Intelligence Unit, in exercise of the powers conferred by Article 15, fraction IV, of the Internal Regulations of the Ministry of Finance and Public Credit, designed, in coordination with the National Banking and Securities Commission, the aforementioned official format for the presentation of the information indicated in the third paragraph of these Considerations, in accordance with the aforementioned Provisions;

That the National Banking and Securities Commission, as a decentralized supervisory body, has the Interinstitutional Information Transfer System (SITI), through which Investment Advisors must comply with the obligations established in the aforementioned Provisions, and that SITI is enabled for the sending of the information referred to, which would take 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 obligated subjects;

That in relation to the above, it is convenient to continue advancing in the automation of information, in order to streamline its complete and timely transmission, as well as achieve greater efficiency in its sending and reception, which will contribute in the matter in question to the prevention and detection of operations related to the commission of the crimes provided for in Articles 139, 139 Quater, 148 Bis of the Federal Penal Code or that could fall under the circumstances of Article 400 Bis of the same Code, and

That once the opinion of the National Banking and Securities Commission has been heard, issued through Office number 221/DGPORPIA-17892/2016, dated June 16, 2016, the following is issued:

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, IN ITS CASE, COMPLIANCE OFFICER, CONTEMPLATED IN THE GENERAL PROVISIONS REFERRED TO IN ARTICLE 226 BIS OF THE SECURITIES MARKET LAW, APPLICABLE TO INVESTMENT ADVISORS.

Article 1.- The purpose of this Resolution is to establish the official format and the electronic means through which Investment Advisors will comply with the obligation to inform the Ministry of Finance and Public Credit, through the National Banking and Securities Commission, of the data and other information of the person designated as Representative or, in its case, Compliance Officer in substitution of this, in accordance with what is established in the General Provisions referred to in Article 226 Bis of the Securities Market Law, applicable to investment advisors.

Article 2.- For the purposes of this Resolution, the definitions established in the aforementioned Provisions will be applicable, in addition to the following which may be used in singular or plural:

I.
SITI PLD/FT Single Account, the electronic account with which Investment Advisors 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;

II.
Provisions, the General Provisions referred to in Article 226 Bis of the Securities Market Law, applicable to investment advisors;

III.
Instructivo, the Instructivo for the procedure of the single SITI PLD/FT account, as well as for the filling and sending of the information of the designation and change of the Representative or Compliance Officer through electronic means; and

IV.
SITI, the Interinstitutional Information Transfer System of the Commission.

Article 3.- The official format by which Investment Advisors must communicate to the Ministry the designation of their Representative or, in its case, Compliance Officer, as well as the specification for its filling and sending, will be the one available for such effect in SITI on the worldwide network known as the Internet, to which one can enter through the electronic address http://www.cnbv.gob.mx.

Regarding this, the following information of the Representative or in its case of the Compliance Officer must be provided:

1. Title or profession;
2. Full name with surnames and without abbreviations;
3. Federal Taxpayer Registry (RFC);
4. Unique Population Registry Key (CURP);
5. Telephone and email;
6. Position and functions to be performed, and
7. Date of appointment as Representative or in its case Compliance Officer.

Likewise, the digitalized file of the document or documents that accredit the respective designations must be provided, in accordance with the specifications indicated in SITI.

Article 4.- The information referred to in the aforementioned official format must be sent 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. Consequently, SITI will generate an electronic receipt in which the name, trade name or corporate name of the Investment Advisor, registration number, folio number, type of information, as well as date and time of receipt will be recorded.

Investment Advisors will be responsible for the sending of the information in question, as well as for it meeting the quality and characteristics required.

Article 5.- Investment Advisors will communicate the information indicated in this Resolution through the Representative or, in its case, Compliance Officer, as appropriate, for which they must obtain the SITI PLD/FT Single Account in accordance with what is established in the Instructivo.

TRANSITORY PROVISIONS

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

Mexico City, July 11, 2016.-

The Head of the Financial Intelligence Unit of the Ministry of Finance and Public Credit, Alberto Bazbaz Sacal.- Signature.

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