Resolution modifying the General Provisions applicable to Brokerage Houses — SHCP — MX

DOF: 12/27/2016

RESOLUTION that modifies the General Provisions applicable to Brokerage Houses

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, with the agreement of its Board of Directors, based on the provisions of Articles 115, fractions II and VI, and 119, fractions II and III of the Securities Market Law, as well as Articles 4, fractions XXXVI and XXXVIII, 16, fraction I, and 19 of the Law of the National Banking and Securities Commission, and

CONSIDERING

That in order to have solid brokerage houses managed under the best quality standards, it is necessary to strengthen controls that allow the National Banking and Securities Commission to verify the honorability, credit history, and satisfactory business history of potential shareholders, board members, and other relevant executives as required by the Securities Market Law, has resolved to issue the following:

RESOLUTION THAT MODIFIES THE GENERAL PROVISIONS APPLICABLE TO BROKERAGE HOUSES

SINGLE.- The Annexes A, B, C, and D of the "General Provisions applicable to Brokerage Houses", published in the Official Gazette of the Federation on September 6, 2004, and modified by resolutions published in said dissemination organ on March 9, 2005, March 29, June 26, December 6 and 22, 2006, January 17, 2007, August 11, September 19 and October 23, 2008, April 30 and December 30, 2009, February 4, July 29 and November 26, 2010, August 23, 2011, February 16, March 23 and December 17, 2012, January 31, July 2 and 11, 2013, January 30, June 5 and 30, December 19, 2014, January 6, 8 and 9, March 13, September 18, December 31, 2015, May 12 and September 28, 2016, are SUBSTITUTED, to read as follows:

" TITLES FIRST TO SEVENTH ...

Annex A

Information on potential shareholders.

Annex B

Protest letter formats for persons intending to participate in the share capital of brokerage houses.

Annex C

Curriculum vitae format for persons proposed to occupy the positions of board member, general manager, or official within the hierarchy immediately below that of the general manager of brokerage houses.

Annex D

Protest letter formats for persons proposed to occupy the positions of board member, general manager, or official within the hierarchy immediately below that of the general manager of brokerage houses.

Annexes 1 to 17

... "

TRANSITORY PROVISIONS

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

SECOND.- Procedures and processes initiated prior to the entry into force of this Resolution shall continue to be governed by the provisions in force on the date of publication of this Resolution.

THIRD.- Shareholders of a brokerage house that fall under the circumstances described below shall be obligated to present to the National Banking and Securities Commission the information contained in Annexes A and B of the General Provisions applicable to Brokerage Houses, which are substituted through this Resolution, ten business days before the acquisition indicated in the following fractions is intended to be carried out:

Those who directly or indirectly hold more than five percent of the share capital of said brokerage house and intend to acquire directly or indirectly, simultaneously or successively, shares for more than five percent without such acquisition implying obtaining thirty percent of the share capital or control of the entity.

II.

Those who directly or indirectly hold more than thirty percent of the share capital or control of the entity and intend to acquire directly or indirectly, simultaneously or successively, shares representing the share capital of said brokerage house for more than five percent.

The provisions of the preceding paragraph shall equally apply to each shareholder who is part of a group of persons considered as such under the Securities Market Law, which collectively and simultaneously or successively, intend to carry out the acquisitions indicated; or to the person who is part of a group of persons when, by virtue of the acquisition of shares carried out individually, it results that the group of persons holds more than thirty percent of the share capital or control of the entity.

Likewise, this provision shall be observed by those persons who, on the date of entry into force of this Resolution, hold shares representing the share capital of a brokerage house in guarantee and intend to receive additional shares in guarantee simultaneously or successively, in both cases under the same conditions as those indicated in the fractions of this article.

Respectfully,

Mexico City, December 19, 2016. - The President of the National Banking and Securities Commission, Jaime González Aguadé. - Signature.

ANNEX A

INFORMATION ON POTENTIAL SHAREHOLDERS

Name or potential name of the brokerage house.

Date of preparation (dd/mm/yyyy).

To be filled out by the National Banking and Securities Commission:

Reference.

This information is part of the application submitted to the National Banking and Securities Commission, its content is confidential and will be subject to review and verification.

Filling Instructions.

This form shall be filled out by:

a.-

Shareholders who intend to participate, directly or indirectly, with 5% or more of the share capital or acquire control of the brokerage house.

b.-

Persons who intend to receive in guarantee, implying transfer of ownership, shares representing more than 30% of the share capital, who shall fill out the corresponding information requested for

shareholders.

No spaces should be left blank; in any case, mention: None, No, I do not have, Not applicable.

All required names and data must be presented in full (e.g., persons with two names).

SECTION 1

PERSONAL IDENTIFICATION DATA

NATURAL PERSONS

First name(s).

Paternal surname.

Maternal surname.

Nationality.

Tax ID (with homoclave).

CURP

Address for hearing and receiving notifications

Street and exterior and/or interior number.

Neighborhood.

Delegation or Municipality.

Federative Entity.

Postal code.

Country.

Marital status.

Name of spouse, concubine or concubine, as well as their economic dependents.

Name of relatives in direct line ascendant and descendant up to the first degree.

IDENTIFICATION DATA

LEGAL ENTITIES, TRUSTS, OR
INVESTMENT VEHICLES

Name or trade name.

Main activity.

Nationality.

Tax ID (with homoclave).

Date of constitution.

Name of the legal representative.

Profession of the legal representative.

Work background of the legal representative.

Address for hearing and receiving notifications

Street and exterior and/or interior number.

Neighborhood.

Postal code.

Delegation or Municipality.

Federative Entity.

Country.

Name of shareholders or persons who participate with 10% or more of the share capital of the legal entity, or of the trust or investment vehicle.*

Shareholder
(%)

In the case of legal entities, trusts, or other investment vehicles, the direct and indirect participations of natural persons in the capital of these must be related and broken down until the identification of the natural persons who are the ultimate beneficiaries of such participations.

According to statutes, can you invest in companies?

Yes

Has the investment in question been approved by your board of directors?

Yes

Do you have or have you had investment in financial entities?

Yes

Specify:

___ % equity.

Name: __________________________

SECTION 2

PERSON'S PARTICIPATION IN THE BROKERAGE HOUSE

Shareholder (if applicable).

___ % current shareholding.

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