Resolution modifying the Agreement delegating the authority to impose administrative sanctions to the President, Legal Vice President, Director General of Crimes and Sanctions, and Deputy Directors General of Administrative Sanctions A, B and C of the CNBV

DOF: 25/04/2018

RESOLUTION modifying the Agreement by which the Board of Directors of the National Banking and Securities Commission delegates to the President, Legal Vice President, Director General of Crimes and Sanctions, and Deputy Directors General of Administrative Sanctions A, B and C of the said Commission, the authority to impose administrative sanctions.

A seal with the National Coat of Arms appears on the margin, stating: United Mexican States.- Ministry of Finance and Public Credit.- National Banking and Securities Commission.

The Board of Directors of the National Banking and Securities Commission, in a session held on March 15, 2018, and pursuant to Articles 12, subsections IV and X of the Law of the National Banking and Securities Commission and Article 10 of the Internal Regulations of the National Banking and Securities Commission, and

CONSIDERING

That the General Law of Organizations and Auxiliary Credit Activities and the Securities Market Law empower the National Banking and Securities Commission to cancel the registrations granted to exchange centers, money transmitters, and investment advisors, respectively, when any of the circumstances set forth in said laws occur, and taking into account that the cancellation of registration is the maximum sanction that can be imposed, it is appropriate that such authority be expressly delegated to the President and other public servants of the National Banking and Securities Commission, has resolved to issue the following:

RESOLUTION MODIFYING THE AGREEMENT BY WHICH THE BOARD OF DIRECTORS OF THE NATIONAL BANKING AND SECURITIES COMMISSION DELEGATES TO THE PRESIDENT, LEGAL VICE PRESIDENT, DIRECTOR GENERAL OF CRIMES AND SANCTIONS, AND DEPUTY DIRECTORS GENERAL OF ADMINISTRATIVE SANCTIONS A, B AND C OF THE SAID COMMISSION, THE AUTHORITY TO IMPOSE ADMINISTRATIVE SANCTIONS

SOLE ARTICLE.- A Fourth Article is ADDED to the "Agreement by which the Board of Directors of the National Banking and Securities Commission delegates to the President, Legal Vice President, Director General of Crimes and Sanctions, and Deputy Directors General of Administrative Sanctions A, B and C of the said Commission, the authority to impose administrative sanctions", published in the Official Gazette of the Federation on November 21, 2014, and modified through Resolutions published in said dissemination organ on December 19, 2014, and June 7, 2016, to read as follows:

"FOURTH ARTICLE.- The authority to cancel the registration granted by the said Commission referred to in Article 81-B of the General Law of Organizations and Auxiliary Credit Activities, for the circumstances set forth in subsections I, II, III, V, VI, VII, and VIII of Article 81-D of the aforementioned legal instrument, is delegated to the President, Legal Vice President, and Director General of Crimes and Sanctions of the National Banking and Securities Commission, interchangeably.

Likewise, the authority to cancel the registration granted by the National Banking and Securities Commission referred to in Article 225 of the Securities Market Law, for the cases indicated in subsections I, II, III, and V of Article 227 Bis of the aforementioned law, is delegated to the public servants mentioned in the preceding paragraph."

TRANSITORY

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

Respectfully,

Mexico City, April 17, 2018. - The President of the National Banking and Securities Commission, José Bernardo González Rosas. - Signature.

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