Resolution modifying the Call for Applications for Certification in Anti-Money Laundering and Counter-Terrorist Financing

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DOF: 23/09/2020

RESOLUTION modifying the Call for Applications for Certification in the Matter of Prevention of Operations with Resources of Illicit Origin and Financing of Terrorism

At the margin, a seal with the National Coat of Arms, which reads: United Mexican States.- TREASURY.- Ministry of

Treasury 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, as well as

1, 4 and 5 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 Financing of Terrorism", published in the Official Gazette of the Federation on November 1,

2019, and

CONSIDERING

That on November 25, 2019, the "Call for Applications for Certification in the Matter of Prevention of Operations with Resources of Illicit Origin and Financing of Terrorism" (Call) was published in the Official Gazette of the Federation, which within its FOURTH Participation Base establishes the deadlines and dates for the stages of the process for obtaining and renewing the certificate in the matter of AML/CFT in the year 2020;

That in the month of March, the World Health Organization declared the disease caused by the SARS-CoV2 virus (COVID-19) as a pandemic, in this sense, on March 24, 2020, the Ministry of Health published in the Official Gazette of the Federation the "Agreement by which preventive measures that must be implemented to mitigate and control health risks implied by the disease caused by the SARS-CoV2 virus (COVID-19)" , which establishes the preventive measures that must be implemented to mitigate and control the health risks implied by the coronavirus disease called COVID-19, among which the temporary suspension of activities of the public, social and private sectors involving physical concentration, transit or displacement of people stood out;

That on March 26 of this year, the National Banking and Securities Commission (Commission) published in the Official Gazette of the Federation the "Agreement by which temporary and extraordinary measures are established and some deadlines are suspended for the attention of financial entities and persons subject to supervision of the National Banking and Securities Commission, due to the coronavirus called COVID-19" (Suspension Agreement), through which deadlines regarding hearings, procedures and procedures that were in progress at the Commission during the period from March 23 to April 19, 2020 were suspended;

That on April 17 and 28 and May 29, 2020, this Commission published in the Official Gazette of the Federation various agreements, with the purpose of extending the term regarding the suspension of such deadlines for hearings, procedures and procedures that were in progress at the Commission, due to the modifications made by the Ministry of Health to the "Agreement by which extraordinary actions are established to address the health emergency generated by the SARS-CoV2 virus"

and the issuance of the

"Agreement by which a strategy is established for the reopening of social, educational and economic activities, as well as a regional traffic light system to evaluate weekly the epidemiological risk related to the reopening of activities in each federal entity, as well as extraordinary actions are established"

and its respective modification ;

That on June 29, the Commission published in the Official Gazette of the Federation the "Agreement by which the term for the suspension of deadlines and activities at the National Banking and Securities Commission that are processed before it is extended, during the COVID-19 pandemic", in order to suspend the deadlines regarding hearings, procedures and procedures that are in progress before the Commission until July 15, 2020;

That, due to the aforementioned pandemic and the Suspension Agreement, on March 30 of this year, this Commission, through its Internet page, published the "Notice for the registration and submission of application for obtaining or renewing the certificate in the matter of prevention of operations with resources of illicit origin and financing of terrorism", as well as the "Notice related to the certification process in the matter of prevention of operations with resources of illicit origin and financing of terrorism", through which it informed those interested in obtaining or renewing their certificate in the matter of AML/CFT that, in order to advance with the registration and submission of applications due to the application of the first evaluation, the Commission's Internet portal would be open from April 6, 2020; in addition, that the date for the application of the first evaluation for the AML/CFT Certification foreseen in the Call would be rescheduled;

That on May 11, 2020, this Commission, through its Internet page, published the "Notice of extension of the deadline for the registration and submission of application for obtaining or renewing the certificate in the matter of prevention of operations with resources of illicit origin and financing of terrorism", through which it informed those interested in obtaining or renewing their certificate in the matter of AML/CFT, that the Commission's Internet portal would be open from April 6, 2020 and until the Commission notified it through a new notice published on its Internet page;

That on May 14, 2020, the Ministry of Health published in the Official Gazette of the Federation the "Agreement by which a strategy is established for the reopening of social, educational and economic activities, as well as a regional traffic light system to evaluate weekly the epidemiological risk related to the reopening of activities in each federal entity, as well as extraordinary actions are established", modified through Agreement published in the same means of dissemination on May 15, 2020, which have as their object to establish a strategy for the reopening of social, educational and economic activities, as well as a regional traffic light system to evaluate weekly the epidemiological risk related to the reopening of activities in each federal entity;

That on July 15, 2020, the Commission published in the Official Gazette of the Federation the "Agreement by which administrative measures are established for the continuity of the activities of the National Banking and Securities Commission in the attention of matters that are processed before it, during the health contingency caused by COVID-19", which in its FIRST establishes that from July 16, 2020, the computation of the deadlines provided for by periods, natural days or business days indicated in the applicable regulations was resumed, regarding procedures and procedures initiated before the Commission, which are in progress, except for the exceptions established in the same agreement;

That on July 22, 2020, this Commission through its Internet page published the "Notice related to the application of the 1st evaluation for the certification in the matter of prevention of operations with resources of illicit origin and financing of terrorism (AML/CFT) in 2020", with which it informed those interested in obtaining or renewing their certificate in the matter of AML/CFT that the registration and submission of applications for obtaining the certificate in the matter of AML/CFT for the 1st evaluation of 2020 would conclude on August 5 of the current year, and that said evaluation will take place on September 26 of the current year; having as the date for the delivery of results October 23, 2020;

That, for all the above, in the eagerness to prioritize health prevention measures and protection of the health of the population derived from the pandemic caused by the SARS-CoV2 virus (COVID-19), and in order to provide legal certainty to private parties, it is necessary to clarify the schedule contained in the FOURTH Participation Base of the Call in order to reflect the dates on which the registration and submission of the application for obtaining or renewing the certificate in the matter of AML/CFT took place, in terms of the notices published on May 11 and July 22, 2020 on the Commission's Internet page, as well as to modify the dates on which participants will present the first evaluation of the year 2020 and receive the delivery of results of said evaluation; consequently, it has resolved to issue the following:

RESOLUTION MODIFYING THE CALL FOR APPLICATIONS FOR CERTIFICATION

IN THE MATTER OF

PREVENTION OF OPERATIONS WITH RESOURCES OF ILICIT ORIGIN

AND FINANCING

OF TERRORISM

SOLE.- The THIRD Base, first paragraph and FOURTH; and a SEVENTH Base is ADDED to the Participation Bases of the "Call for Applications for Certification in the Matter of Prevention of Operations with Resources of Illicit Origin and Financing of Terrorism", published in the Official Gazette of the Federation on November 25, 2019, to remain as follows:

"THIRD.- During the year 2020, for the obtaining or renewal of the Certificate in the matter of AML/CFT, two evaluations will be carried out with a quota of up to 1,700 places each, which will be carried out on the following dates: September 26 and November 7 of the year 2020. Both, will start at 9:00 hours, with a duration of four hours, each one.

...

...

...

FOURTH.-

The schedule for the processes of obtaining and renewing the Certificate in the matter of AML/CFT during the year 2020, will be the following:

Stage

Date or Deadline

First Evaluation

Registration and submission of application for obtaining or renewal of the Certificate in the matter of AML/CFT

From April 6 to August 5, 2020

Checking of documentation

September 26, 2020

Application of the evaluation

September 26, 2020

Notification of the results of the evaluation

October 23, 2020

Second Evaluation

Registration and submission of application for obtaining or renewal of the Certificate in the matter of AML/CFT

From August 10 to September 18, 2020

Checking of documentation

November 7, 2020

Application of the evaluation

November 7, 2020

Notification of the results of the evaluation

December 7, 2020

" SEVENTH.- Any modification to the dates or deadlines provided for in the THIRD and FOURTH Bases of this Call, derived from the determinations adopted to address the health emergency generated by the SARS-CoV2 virus (COVID-19) or in relation to the reopening of social activities, educational and economic, by the health authority of the country or by the competent authorities of each federal entity that is the seat of the realization of the evaluations, in accordance with the level of risk that in terms of the epidemiological risk traffic light system to transition to a new normality, results applicable, will be made known to the Registered Participants through the Internet page of this Commission and the email registered in the application for the obtaining of the Certificate in the matter of AML/CFT. "

TRANSITORY

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

Respectfully

Mexico City on September 9, 2020.- The President of the National Banking and Securities Commission, Juan Pablo Graf Noriega.- Rubric.

(R. 498585)

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