Resolution modifying the Agreement establishing the certification calendar for independent external auditors, internal auditors, compliance officers, representatives, and other professionals in anti-money laundering and counter-terrorist financing

DOF: 09/06/2016

RESOLUTION that modifies the Agreement by which the calendar to initiate the certification process for independent external auditors, compliance officers, and other professionals in the matter of prevention of operations with resources of illicit origin and terrorist financing is made known.

At the margin, a seal with the National Coat of Arms, which says: 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 X, X Bis, XXXVI and XXXVIII and 16, fraction I of the Law of the National Banking and Securities Commission, and

CONSIDERING

That it is necessary to clarify the dates for independent external auditors to carry out the certification process in the matter of prevention of operations with resources of illicit origin and terrorist financing, as well as to expressly include internal auditors and representatives, has resolved to issue the following:

RESOLUTION THAT MODIFIES THE AGREEMENT BY WHICH THE CALENDAR TO INITIATE THE CERTIFICATION PROCESS FOR INDEPENDENT EXTERNAL AUDITORS, COMPLIANCE OFFICERS, AND OTHER PROFESSIONALS IN THE MATTER OF PREVENTION OF OPERATIONS WITH RESOURCES OF ILLICIT ORIGIN AND TERRORIST FINANCING IS MADE KNOWN

SINGLE.- The name of the "Agreement by which the calendar to initiate the certification process for independent external auditors, compliance officers, and other professionals in the matter of prevention of operations with resources of illicit origin and terrorist financing is made known" is REFORMED, to read as "Agreement by which the calendar to initiate the certification process for independent external auditors, internal auditors, compliance officers, representatives, and other professionals in the matter of prevention of operations with resources of illicit origin and terrorist financing is made known", as well as articles 1 and 2, and an article 3 is ADDED to the "Agreement by which the calendar to initiate the certification process for independent external auditors, compliance officers, and other professionals in the matter of prevention of operations with resources of illicit origin and terrorist financing is made known", published in the Official Gazette of the Federation on March 13, 2015, to read as follows:

AGREEMENT BY WHICH THE CALENDAR TO INITIATE THE CERTIFICATION PROCESS FOR INDEPENDENT EXTERNAL AUDITORS, INTERNAL AUDITORS, COMPLIANCE OFFICERS, REPRESENTATIVES, AND OTHER PROFESSIONALS IN THE MATTER OF PREVENTION OF OPERATIONS WITH RESOURCES OF ILLICIT ORIGIN AND TERRORIST FINANCING IS MADE KNOWN

Article 1.- This Agreement aims to make known the calendar with the dates on which independent external auditors, internal auditors, compliance officers, the representatives referred to in the 42nd of the General Provisions referred to in article 91 of the Investment Funds Law, and other professionals referred to in the Second Transitory Article of the "General Provisions for the certification of independent external auditors, compliance officers, and other professionals in the matter of prevention of operations with resources of illicit origin and terrorist financing" (Provisions), published in the Official Gazette of the Federation on October 2, 2014, must initiate the certification process or, as the case may be, hold the certificate referred to in said Provisions.

Article 2.- Compliance officers, representatives, and other professionals referred to in article 1 of this Agreement must initiate the certification process, or in their case, have initiated it in accordance with the following calendar:

Entity or company | Start of certification process --- | ---

1. Credit institutions, brokerage houses, and multi-objective financial societies regulated. | June 2015
2. Exchange houses, general warehouse receipts, and credit unions. | September 2015
3. Savings and loan cooperative societies, popular financial societies, community financial societies, rural financial integration bodies. | January 2016
4. Investment fund operating societies, investment fund share distribution societies, currency centers, and money transmitters. | April 2016
5. Unregulated multi-objective financial societies and the National Financial Entity for Agricultural, Rural, Forestry, and Fisheries Development. | August 2016

Article 3.- Independent external auditors and internal auditors referred to in article 1 of this Agreement may initiate the certification process on any date; however, they must hold the certificate referred to in the Provisions no later than January 1, 2017.

TRANSITORY

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

Respectfully,
Mexico City, June 1, 2016. - The President of the National Banking and Securities Commission, Jaime González Aguadé. - Initial.

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