Resolution modifying general provisions establishing the procedure for responding to information and documentation requests from competent authorities to financial entities supervised by the CNBV

DOF: 13/12/2018

RESOLUTION modifying the general provisions establishing the procedure for responding to information and documentation requests that competent authorities make to financial entities subject to the supervision of the National Banking and Securities Commission, through it.

At the margin, a seal with the National Coat of Arms, which reads: United Mexican States.- Ministry of Finance and Public Credit.- National Banking and Securities Commission.

The National Banking and Securities Commission, based on the provisions of Articles 4, fractions V, XXXVI and XXXVIII, 16, fraction I and 19 of the National Banking and Securities Commission Law; 97, 110 Bis 2, fraction IV, 115 and 142 of the Credit Institutions Law; 192, 212 and 399, fraction IV of the Securities Market Law; 44, 78, 129 and 133, fraction IV of the Credit Unions Law; 34, 46 Bis, 122 Bis, 124 and 146, fraction IV, of the Popular Savings and Credit Law; 69, 70, 71, 72 and 120, fraction IV, of the Law to Regulate the Activities of Savings and Loan Cooperatives; 55, 87 Bis 2, fraction IV and 91 of the Investment Funds Law; 51-A, 87-D, 95 and 101 Bis 3, fraction IV of the General Law of Organizations and Auxiliary Credit Activities; 70, 73 and 134, fraction IV of the Law to Regulate Financial Technology Institutions; 45 of the Supervision Regulation of the National Banking and Securities Commission, published in the Official Gazette of the Federation on January 18, 2005; as well as in the Eleventh, third paragraph, and Sixteenth of the "General rules to which the societies referred to in fraction IV of Article 103 of the Credit Institutions Law must be subject" published in the Official Gazette of the Federation on December 19, 2005, and

CONSIDERING

That in accordance with Article 78 of the General Law for Regulatory Improvement and with the aim of reducing the compliance cost of this modifying resolution, the National Banking and Securities Commission, through a resolution published in the Official Gazette of the Federation on April 26, 2018, modified the General provisions applicable to the activities of savings and loan cooperatives, to extend the deadlines in which these societies must disseminate their financial statements on their website and deliver them to the Commission; likewise, on April 12, 2018, the General provisions applicable to the use of the electronic authorization system for the organization, operation and functioning of entities were published in the Official Gazette of the Federation, through which the procedure for the authorization process of financial entities before the Commission is expedited;

That on March 9, 2018, the "Decree issuing the Law to Regulate Financial Technology Institutions and reforming and adding various provisions of the Credit Institutions Law, the Securities Market Law, the General Law of Organizations and Auxiliary Credit Activities, the Law for Transparency and Ordering of Financial Services, the Law to Regulate Credit Information Societies, the Law for Protection and Defense of Financial Services Users, the Law to Regulate Financial Groupings, the National Banking and Securities Commission Law, and the Federal Law for the Prevention and Identification of Operations with Resources of Illicit Origin" was published in the Official Gazette of the Federation;

That in terms of the Law to Regulate Financial Technology Institutions, financial technology institutions are obligated to respond to the requests that the National Banking and Securities Commission makes to them as a result of requests from tax, administrative, and judicial authorities, and

That in light of the above, it is necessary to consider financial technology institutions in the general provisions that establish the procedure for responding to information and documentation requests that tax, administrative, and judicial authorities make to this type of institution through the National Banking and Securities Commission, has resolved to issue the following:

RESOLUTION MODIFYING THE GENERAL PROVISIONS ESTABLISHING THE PROCEDURE FOR RESPONDING TO INFORMATION AND DOCUMENTATION REQUESTS THAT COMPETENT AUTHORITIES MAKE TO FINANCIAL ENTITIES SUBJECT TO THE SUPERVISION OF THE NATIONAL BANKING AND SECURITIES COMMISSION, THROUGH IT

SINGLE.- Articles 2, fraction II and 5, first paragraph are REFORMED and Annex 1 of the "General provisions establishing the procedure for responding to information and documentation requests that competent authorities make to Financial Entities subject to the supervision of the National Banking and Securities Commission, through it", published in the Official Gazette of the Federation on November 9, 2009, modified by resolutions published in said dissemination organ on October 11, 2010, April 28 and July 28, 2017, is SUBSTITUTED, to read as follows:

" ANNEX 1

Data of the person or persons responsible for sending and the quality of the information that must be sent to the National Banking and Securities Commission.

ANNEXES 2 and 3

. . . "

" Article 2.-

. . .

II.

Financial Entities, to credit institutions, brokerage houses, investment funds, fund operating societies, fund share distribution societies, general warehouses, credit unions, exchange houses, regulated multiple-purpose financial societies, credit information societies, financial technology institutions, savings and loan cooperatives, popular financial societies and other societies regulated by the Popular Savings and Credit Law.

III. to VII.

. . . "

" Article 5.- Financial Entities must designate the persons responsible for providing the Commission with the information and documentation referred to in these provisions. Such designations must be made to persons who are within the four lowest hierarchical levels below the General Director or, in the case of financial technology institutions that do not have a General Director, the unique administrator, who must have sufficient powers to bind the Financial Entity with their acts. Likewise, Financial Entities must designate the persons who will have access to the electronic section in the SITI corresponding to them.

. . .

. . . "

TRANSITORY

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

Respectfully

Mexico City, November 30, 2018. - The President of the National Banking and Securities Commission, José Bernardo González Rosas.- Signature.

ANNEX 1

DATA OF THE PERSON OR PERSONS RESPONSIBLE FOR SENDING AND THE QUALITY OF THE INFORMATION THAT MUST BE SENT TO THE NATIONAL BANKING AND SECURITIES COMMISSION.

Name of the Financial Entity.

No. (Consecutive).

Name.

Position.

Phone.

Address.

Federal Taxpayer Registry (RFC).

Unique Population Registry Key (CURP).

Email Address.

No. (Consecutive)

Name.

Position.

Phone.

Address.

Federal Taxpayer Registry (RFC).

Unique Population Registry Key (CURP)

Email Address.

DATA OF THE FINANCIAL ENTITY OFFICIAL WHO AUTHORIZES THE DESIGNATIONS

Name.

Position.

Phone.

Address.

Email Address.

Signature.

The document must be presented duly completed, for its attention.

Access to the system will be provided exclusively to the person(s) responsible for sending information via SITI.

The document must be duly signed by executives who are within the two hierarchical levels below the General Director of the Financial Entity or, in the case of financial technology institutions that do not have a General Director, the unique administrator, and sent previously digitized to the Deputy General Directorate of Design and Information Reception, to the following email address:

cesiti@cnbv.gob.mx

DATA OF AUTHORIZED USERS TO HAVE ACCESS TO THE SITI, AS WELL AS TO SEND INFORMATION TO THE NATIONAL BANKING AND SECURITIES COMMISSION.

Name of the Financial Entity.

No. (Consecutive).

Name.

Information Reported.

Position.

Phone.

Address.

Federal Taxpayer Registry (RFC).

Unique Population Registry Key (CURP).

Email Address.

Name of Immediate Supervisor.

Immediate Supervisor's Phone.

Immediate Supervisor's Address.

Immediate Supervisor's Email Address.

No. (Consecutive).

Name.

Information Reported.

Position.

Phone.

Address.

Federal Taxpayer Registry (RFC).

Unique Population Registry Key (CURP).

Email Address.

Name of Immediate Supervisor.

Immediate Supervisor's Phone.

Immediate Supervisor's Address.

Immediate Supervisor's Email Address.

DATA OF THE FINANCIAL ENTITY OFFICIAL WHO AUTHORIZES USERS WHO WILL HAVE ACCESS TO THE SITI, AS WELL AS TO SEND INFORMATION TO THE NATIONAL BANKING AND SECURITIES COMMISSION.

Name.

Position.

Phone.

Address.

Email Address.

Signature.

The document must be presented duly completed, for its attention.

Access to the system will be provided exclusively to the user(s) responsible for sending information via SITI.

cesiti@cnbv.gob.mx

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