Regulatory Alerts2016-07-26 | DOF 5445709Added
Resolution establishing the official format and electronic means to communicate information on the designated representative or compliance officer for investment advisors
This Resolution establishes the official format and the electronic means through which Investment Advisors must communicate to the Ministry of Finance and Public Credit, via the National Banking and Securities Commission, the details of their designated Representative or Compliance Officer. Investment Advisors are required to submit specific personal and professional data, including tax and population registry keys, contact information, and digitalized appointment documents, through the Interinstitutional Information Transfer System (SITI). The Resolution defines relevant terms such as the SITI PLD/FT Account and the Instructivo, and mandates that submissions be made in accordance with the deadlines and conditions set forth in the General Provisions referenced in Article 226 Bis of the Securities Market Law. The Resolution entered into force the day following its publication in the Official Gazette of the Federation on July 27, 2016.
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