Resolution modifying the General Provisions applicable to Brokerage Houses

DOF: 18/10/2017

RESOLUTION modifying 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, based on the provisions of Articles 126, second paragraph, and 224, first paragraph, of the Securities Market Law, as well as Articles 4, sections II and XXXVIII, and 16, section I, of the Law of the National Banking and Securities Commission, and

CONSIDERING

That it is necessary to clarify the deadline for the entry into force of the obligations that brokerage houses must observe regarding the internal control system, specifically concerning the business continuity plan, it has resolved to issue the following:

RESOLUTION MODIFYING THE GENERAL PROVISIONS APPLICABLE TO BROKERAGE HOUSES

SINGLE.- Article SECOND TRANSITORY, section I, first paragraph, of the "Resolution modifying the General Provisions applicable to Brokerage Houses," published in the Official Gazette of the Federation on June 23, 2017, and modified through "Resolution modifying the General Provisions applicable to Brokerage Houses," published in the same medium on September 5, 2017, is REFORMED, to read as follows:

" SECOND.- . . .

I.

Up to three months, to prepare or, where applicable, modify the manuals, policies, and procedures referred to in Articles 15 Bis; 59; 87, last paragraph; 117 Bis; 117 Bis 6; 117 Bis 13, and 117 Bis 15

which are added to the "General Provisions applicable to Brokerage Houses" through this instrument, and to submit them to the authorization of the National Banking and Securities Commission, as applicable.

. . .

II. to V.

. . . "

TRANSITORY

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

Respectfully,

Mexico City, October 9, 2017. - The President of the National Banking and Securities Commission, Jaime González Aguadé.- Signature.

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