Resolution modifying the General Provisions applicable to Brokerage Houses

DOF: 12/05/2016

RESOLUTION that modifies the General Provisions applicable to Brokerage Houses

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 173 Bis and 350, third paragraph of the Securities Market Law, as well as 4, fractions V, XXXVI and XXXVIII, 16, fraction I and 19 of the Law of the National Banking and Securities Commission, and

CONSIDERING

That it is necessary to add to the information that brokerage houses must periodically send to the National Banking and Securities Commission, the list of orders and assignments of operations registered in their reception and assignment systems, so that this authority has the necessary information for supervisory purposes, it has resolved to issue the following:

RESOLUTION MODIFYING THE GENERAL PROVISIONS APPLICABLE TO

BROKERAGE HOUSES

SOLE.- Articles 1, fraction IX, 201 and 214, last paragraph; are REFORMED; Article 202 is ADDED with fraction III and a last paragraph; Article 93 is REPEALED; and Annex 9 of the "General Provisions applicable to brokerage houses", published in the Official Gazette of the Federation on September 6, 2004, modified through Resolutions published in the said Official Gazette 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 and December 31, 2015, respectively, are SUBSTITUTED, to read as follows:

TITLES FIRST to SEVENTH . . .

Annexes

A to D . . .

Annexes

1 to 8 . . .

Annex 9

Regulatory Reports

Annexes

10 to 17 . . .

" Article 1.- . . .

I. to

VIII. . . .

IX.

Evaluation of capital sufficiency under supervisory scenarios: the process integrated into the comprehensive risk management of brokerage houses, through which they evaluate if their net capital would be sufficient to cover possible losses, if any, derived from the risks to which these entities will be exposed in each of the supervisory scenarios and that comply with the requirements established in Annex 17 of these provisions.

X. to XXXII. . . .

. . . "

" Article 93.- It is repealed. "

" Article 201.- Brokerage houses must provide the Commission, with the periodicity established in the following articles, the financial information attached to these provisions as Annex 9, which is identified with the series and types of reports listed below:

Series R01

Minimum Catalog

A-0111

Minimum Catalog

Series R03

Investments in securities

J-0316

Assignments

J-0317

Orders

Series R05

Accounts receivable

A-0511

Accounts receivable

B-0521

Disaggregated accounts receivable

Series R07

Deferred taxes

A-0711

Deferred taxes

Series R10

Reclassifications

A-1011

Reclassifications in the balance sheet

A-1012

Reclassifications in the income statement

Series R12

Consolidation

A-1219

Consolidation of the brokerage house's balance sheet with its subsidiaries

A-1220

Consolidation of the brokerage house's income statement with its subsidiaries

Series R13

Financial statements

A-1311

Statement of changes in the brokerage house's equity capital

A-1316

Cash flow statement of the brokerage house

B-1321

Balance sheet of the brokerage house

B-1322

Income statement of the brokerage house

Series R14

Qualitative information

A-1413

Number of accounts

A-1414

Number of employees

Series R18

Accounts payable

A-1811

Other accounts payable

B-1821

Disaggregated various creditors and other accounts payable

Brokerage houses will require prior authorization from the Commission for the opening of new concepts or levels not included in the corresponding series, exclusively for the submission of information regarding new operations authorized for this purpose by the Secretariat, in accordance with the relevant legislation. Likewise, in the event that changes in applicable regulations require establishing additional concepts or levels beyond those provided in these provisions, the Commission will inform brokerage houses of the opening of the respective new concepts or levels.

In the two cases provided for in the previous paragraph, the Commission through the Interinstitutional Information Transfer System (SITI), will notify brokerage houses of the registration and submission mechanism for the corresponding information.

Article 202.- . . .

I. and II. . . .

III.

Daily, the information related to series R03, exclusively with respect to report J-0316, on the settlement date of operations with securities carried out in the electronic trading systems of the stock exchanges.

The Commission may request at any time the information related to series R03, exclusively with respect to report J-0317. Such information must be presented no later than the third business day following the one in which the notification of the request made for this purpose takes effect. "

" Article 214.- . . .

I. to III. . . .

For the purposes of the foregoing, brokerage houses must perform an evaluation of capital sufficiency under supervisory scenarios, adhering to the guidelines established in Annex 17 of these provisions. Likewise, the verification of the assumptions contained in the fractions of this article must be determined for each of the quarters comprising the aforementioned evaluation, in accordance with the provisions of this instrument. "

TRANSITORY

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

Respectfully,

Mexico City, April 27, 2016. - The President of the National Banking and Securities Commission, Jaime González Aguadé.- Signature.

Annex 9

Brokerage Houses Regulatory Reports

Index

Periodicity

Series R01 Minimum Catalog

A-0111

Minimum Catalog

Monthly

Series R03 Investments in securities

J-0316

Assignments

Daily

J-0317

Orders

Upon

Notification (1)

Series R05 Accounts receivable

A-0511

Accounts receivable

Monthly

B-0521

Disaggregated accounts receivable

Monthly

Series R07 Deferred taxes

A-0711

Deferred taxes

Quarterly

Series R10 Reclassifications

A-1011

Reclassifications in the balance sheet

Monthly

A-1012

Reclassifications in the income statement

Monthly

Series R12 Consolidation

A-1219

Consolidation of the brokerage house's balance sheet with its

subsidiaries

Quarterly

A-1220

Consolidation of the brokerage house's income statement with its

Subsidiaries

Quarterly

Series R13 Financial statements

A-1311

Statement of changes in the brokerage house's equity capital

Quarterly

A-1316

Cash flow statement of the brokerage house

Quarterly

B-1321

Balance sheet of the brokerage house

Monthly

B-1322

Income statement of the brokerage house

Monthly

Series R14 Qualitative information

A-1413

Number of accounts

Monthly

A-1414

Number of employees

Monthly

Series R18 Accounts Payable

A-1811

Other accounts payable

Monthly

B-1821

Disaggregated various creditors and other accounts payable

Monthly

SERIES R01 MINIMUM CATALOG

This series is integrated by one (1) report, whose frequency of preparation and presentation must be monthly.

REPORT

A-0111

Minimum Catalog

In this report, the balances at the end of the period are requested for all concepts that

form part of the balance sheet and the income statement of the brokerage house. The

report is requested in two subtotals:

• National currency, VSM and UDIs valued in pesos.

• Foreign currency valued in pesos.

To fill out the regulatory report A-0111 Minimum Catalog, the following aspects must be considered:

In the report, the balances at the end of the period of the accounting concepts of the unconsolidated brokerage house must be presented.

The balances of all concepts presented in the Minimum Catalog must match those

provided in the rest of the regulatory reports, that is, for the case of the balances or amounts of the concepts of the Minimum Catalog denominated in national currency, they must match the sum of the balances

of the concepts provided in the regulatory reports in national currency; while the balances or amounts of the concepts of the Minimum Catalog denominated in foreign currency valued in pesos,

must match the sum of the balances of the concepts provided in the reports under the same

currency (foreign currency valued in pesos).

CAPTURE FORMAT

Brokerage houses will carry out the submission of the information related to report A-0111 Minimum Catalog

described above, by using the following capture format:

REQUESTED INFORMATION

REPORT IDENTIFIER SECTION

PERIOD

ENTITY KEY

FINANCIAL INFORMATION SECTION

CONCEPT

REPORT

CURRENCY

DATA

Brokerage houses will report the information indicated in this series adjusting to the

characteristics and specifications for filling out and submitting information presented in the

Interinstitutional Information Transfer System (SITI) or in that which the

National Banking and Securities Commission (CNBV) makes known in due course.

SERIES R03 INVESTMENTS IN SECURITIES

This series is integrated by two (2) reports, J-0316 Assignments with daily frequency of preparation and

J-0317 Orders which must be presented no later than the third business day following the one in which the

notification of the request made for this purpose takes effect.

REPORT

J-0316

Assignments

In this report, the necessary information will be detailed to know the assignments of the

operations carried out in the electronic trading systems of the stock

exchanges that brokerage houses have registered in their reception and assignment system.

It contains the necessary information to know the operations carried out by clients

that were effectively executed in the equity market according to Title

Third of the Provisions

J-0317

Orders

In this report, the necessary information will be detailed to know the characteristics

general of the orders that brokerage houses have registered in their system of

reception and assignment. This report contains the necessary information to know the

instructions given by the clients of the brokerage houses during each day of operation

in the equity market according to Title Third of the Provisions.

CAPTURE FORMAT

Brokerage houses will carry out the submission of the information related to report J-0316

Assignments, described above, by using the following capture format:

REQUESTED INFORMATION

REPORT IDENTIFIER SECTION

REPORT

ENTITY KEY

SEQUENCE

REPORT DATA SECTION

ORDER DATE

ORDER FOLIO

ASSIGNMENT TIME

BMV EVENT DATE

BMV EVENT FOLIO

BMV EVENT TIME

OPERATION

CONTRACT NUMBER

VOLUME OR NUMBER OF TITLES ASSIGNED

ASSIGNMENT PRICE

ISSUER

SERIES

TYPE OF SECURITY

CLIENT NAME

CLIENT PATERNAL SURNAME

CLIENT MATERNAL SURNAME

Brokerage houses will carry out the submission of the information related to report J-0317 Orders,

described above, by using the following capture format:

REQUESTED INFORMATION

REPORT IDENTIFIER SECTION

OFFICE NUMBER

REPORT

ENTITY KEY

SEQUENCE

REPORT DATA SECTION

ORDER DATE

ORDER TIME

ORDER FOLIO

OPERATION

EXECUTION TYPE

ORDER VALIDITY

CONTRACT NUMBER

TITLES OF THE ORDER

ORDER PRICE

ISSUER

SERIES

TYPE OF SECURITY

TYPE OF ORDER

TYPE OF INSTRUCTION

ORDER CANCELLATION TIME

ORDER STATUS

VOLUME OR NUMBER OF TITLES ASSIGNED

CLIENT NAME

CLIENT PATERNAL SURNAME

CLIENT MATERNAL SURNAME

Brokerage houses will report the information indicated in this series adjusting to the

characteristics and specifications for filling out and submitting information presented in the

Interinstitutional Information Transfer System (SITI) or in that which the

National Banking and Securities Commission (CNBV) makes known in due course.

SERIES R05 ACCOUNTS RECEIVABLE

This series is integrated by two (2) reports, whose frequency of preparation and presentation must be

monthly.

REPORT

A-0511

Accounts receivable

In this report, the balances at the end of the month are requested in national currency, UDIs

valued in pesos and in foreign currency valued in pesos, of the concepts that

integrate the item "Accounts receivable" of the regulatory report of Minimum Catalog. The

balances mentioned, are requested identified by their age, for which the period must be considered

comprised between the origin of the operation and the reported period, likewise, information related to the estimation for uncollectibility or

difficult collection is required.

The data referring to balances and amounts must be presented in national currency, UDIs

valued in pesos and foreign currency valued in pesos, using the exchange rate

indicated in the accounting criteria. Such balances and amounts must be presented in pesos

rounded, without decimals, without commas, without dots and with positive figures, except for the

preventive estimate for credit risks which must be presented with a negative sign.

For example: Preventive estimate for credit risks for $20,585.70 would be -20586.

B-0521

Disaggregated accounts receivable

In this report, operation by operation, the initial balance, debtor movements,

creditor movements and the final balance, that the Brokerage House has registered

in the concepts of "Current accounts and margin clients", "Loans and other debts of

personnel" and "Other debtors", in the regulatory report of Minimum Catalog must be reported.

The data referring to balances and amounts must be presented in national currency, UDIs

valued in pesos and foreign currency valued in pesos, using the exchange rate

indicated in the accounting criteria. Such balances and amounts must be presented in pesos

rounded, without decimals, without commas, without dots and with positive figures, except for the

preventive estimate for credit risks which must be presented with a negative sign.

For example: Preventive estimate for credit risks for $20,585.70 would be -20586.

CAPTURE FORMAT

Brokerage houses will carry out the submission of the information related to report A-0511 Accounts

receivable, described above, by using the following capture format:

REQUESTED INFORMATION

REPORT IDENTIFIER SECTION

PERIOD

ENTITY KEY

FINANCIAL INFORMATION SECTION

CONCEPT

REPORT

BALANCE TYPE

DATA

Brokerage houses will carry out the submission of the information related to report B-0521

Disaggregated accounts receivable, described above, by using the following capture format:

REQUESTED INFORMATION

REPORT IDENTIFIER SECTION

PERIOD

ENTITY KEY

REPORT

ACCOUNTING INFORMATION SECTION

SEQUENCE NUMBER

MOVEMENT DATE

ACCOUNTING CLASSIFICATION

DEBTOR INFORMATION SECTION

PERSON

DEBTOR KEY

RFC

DEBTOR NAME

FINANCIAL CONDITION SECTION

AGE OF BALANCES

INITIAL BALANCE

DEBIT MOVEMENT

CREDIT MOVEMENT

FINAL BALANCE

ESTIMATE FOR UNCOLLECTIBILITY OR DIFFICULT COLLECTION

Brokerage houses will report the information indicated in this series adjusting to the

characteristics and specifications for filling out and submitting information presented in the

Interinstitutional Information Transfer System (SITI) or in that which the

National Banking and Securities Commission (CNBV) makes known in due course.

SERIES R07 DEFERRED TAXES

This series is integrated by one (1) report, whose frequency of preparation and presentation must be

quarterly.

REPORT

A-0711

Deferred taxes

The objective of this report is to show, the main concepts by which the brokerage

house generated deferred taxes, as well as to identify by type of tax, the

following: the calculation base used, the final balance of the previous quarter, the

movements of the quarter by increases, updates and materializations against

results and/or against capital, as well as the final balance at the quarter.

This regulatory report requests the figures of the unconsolidated brokerage house, so the balances at the end of

the quarter must match the total balances of the items and concepts corresponding to the regulatory

report R01 Minimum Catalog.

CAPTURE FORMAT

Brokerage houses will carry out the submission of the information related to report R07 A-0711

Deferred taxes through the following capture format:

REQUESTED INFORMATION

REPORT IDENTIFIER SECTION

PERIOD

ENTITY KEY

CONCEPT

REPORT

TAX IDENTIFIER SECTION

TYPE OF TAX

BALANCE TYPE

MOVEMENT TYPE

DATA

Brokerage houses will report the information indicated in this series adjusting to the

characteristics and specifications for filling out and submitting information presented in the

Interinstitutional Information Transfer System (SITI) or in that which the

National Banking and Securities Commission (CNBV) makes known in due course.

Note:

In the event that there are deferred taxes on PTU (Profit Sharing) on fiscal losses, the Brokerage House must

send to the CNBV the particular judicial resolution in which it is confirmed that it can homologate the base of

calculation of the Participation of Workers in Profits with the calculation base of the Income Tax.

Regulatory Report: Deferred Taxes

R07 A

Report: R07 A Deferred taxes

Figures in Pesos

Description

Calculation

Base

Movements of the Month against Results

Movements of the Month against Capital

Deferred Tax

Initial Balance

Increases

Materialization

Net

Movement

Increases

Update

Materialization

Net

Movement

ISR

PTU

TOTAL

ISR

PTU

ISR

PTU

TOTAL

ISR

PTU

ISR

PTU

ISR

PTU

ISR

PTU

ISR

PTU

ISR

PTU

ISR

PTU

Total Deferred Taxes

Favorable Items

Valuation Losses at Fair

Value

For Securities Lending and

Securities Borrowing

For Derivatives

Non-Deductible Provisions

From Various Debtors

Other Non-Deductible Provisions

For Fiscal Losses:

From Previous Years of

Up to 5 Years of Age

From Previous Years of 6

Years of Age

From Previous Years of 7

Years of Age

From Previous Years of 8

Years of Age

From Previous Years of 9

Years of Age

From Previous Years of

10 Years of Age

For Sale of Shares

Unused Tax Credits

Other Temporary Differences

Chargeable Items

Profit in Valuation at Fair

Value

For Securities Lending and

Securities Borrowing

For Derivatives

Other Temporary Differences

SERIES R10 RECLASSIFICATIONS

This series is integrated by two (2) reports, whose frequency of preparation and presentation must be

monthly.

REPORTS

A-1011

Reclassifications in the balance sheet

In this report, balances at the end of the period are requested for the concepts of the regulatory

report A-0111 Minimum Catalog, as well as the respective adjustments or reclassifications

made for the purpose of presenting the items of the balance sheet of the unconsolidated brokerage

house.

A-1012

Reclassifications in the income statement

In this report, balances at the end of the period are requested for the concepts of the regulatory

report A-0111 Minimum Catalog, as well as the respective adjustments or reclassifications

made for the purpose of presenting the items of the income statement of the unconsolidated brokerage

house.

CAPTURE FORMAT

Brokerage houses will carry out the submission of the information related to reports A-1011

Reclassifications in the balance sheet and A-1012 Reclassifications in the income statement,

described above, by using the following capture format:

REQUESTED INFORMATION

REPORT IDENTIFIER SECTION

PERIOD

ENTITY KEY

FINANCIAL INFORMATION SECTION

CONCEPT

REPORT

BALANCE TYPE

MOVEMENT TYPE

DATA

Brokerage houses will report the information indicated in this series adjusting to the

characteristics and specifications for filling out and submitting information presented in the

Interinstitutional Information Transfer System (SITI) or in that which the

National Banking and Securities Commission (CNBV) makes known in due course.

Brokerage Houses

Series R 10 Reclassifications

Report A- 1011 Reclassifications in the balance sheet

Includes figures in national currency, foreign currency and UDIs valued in pesos

Figures in pesos

Concept

Minimum catalog

balance

Derivatives

swaps for

trading purposes

Derivatives

swaps for

hedging purposes

Adjustments for discontinued

operations

Other compensations

Financial statement of the brokerage house

N.C. and UDIs

F.C.

Total

Debit

Credit

Debit

Credit

Debit

Credit

Debit

Credit

OFF-BALANCE SHEET ACCOUNTS

CLIENT CURRENT ACCOUNTS

CLIENT BANKS

NATIONAL CURRENCY

FOREIGN CURRENCY

CASH IN GUARANTEE FOR SECURITIES LENDING

DIVIDENDS COLLECTED FROM CLIENTS

INTERESTS COLLECTED FROM CLIENTS

SETTLEMENT OF CLIENT OPERATIONS

FOR SALE OF SECURITIES

FOR ARBITRAGE

FOR FUTURES OPERATIONS

FOR TRUSTS

S.D. INDEVAL

PREMIUMS COLLECTED FROM CLIENTS

CLIENTS SETTLEMENTS WITH CURRENCIES

MARGIN ACCOUNTS

CREDIT LINES GRANTED TO CLIENTS FOR GUARANTEE FOR SECURITIES LENDING

CREDIT LINES GRANTED TO CLIENTS FOR GUARANTEE FOR FUTURES OPERATIONS

CREDIT LINES GRANTED TO CLIENTS FOR GUARANTEE FOR OPTIONS

OTHER CURRENT ACCOUNTS

CLIENT INVESTMENTS DEPOSITED IN BANKS

CUSTODY OPERATIONS

CLIENT SECURITIES RECEIVED IN CUSTODY

GOVERNMENT DEBT

BANK DEBT

OTHER DEBT SECURITIES

EQUITY INSTRUMENTS

Commercial, industrial and service equity instruments

Equity instruments of investment companies

COUPONS

GOLD AND SILVER INVENTORY

SECURITIES IN TRUST

CLIENT SECURITIES ABROAD

ADMINISTRATION OPERATIONS

OPERATIONS FOR CLIENT ACCOUNTS

RECEIVABLES FOR CLIENT ACCOUNT REPOS

CREDITOR FOR CLIENT ACCOUNT REPOS

SECURITIES LENDING OPERATIONS FOR CLIENT ACCOUNTS

SECURITIES SUBJECT TO THE OPERATION DELIVERED

Government debt

Bank debt

Other debt instruments

Equity instruments

SECURITIES SUBJECT TO THE OPERATION RECEIVED

Government debt

Bank debt

Other debt instruments

Equity instruments

COLLATERAL RECEIVED AS GUARANTEE FOR CLIENT ACCOUNTS

IN REPOS

Government debt

Bank debt

Other debt instruments

IN SECURITIES LENDING

Cash

Government debt

Bank debt

Other debt instruments

Equity instruments

Letters of credit

IN DERIVATIVES

Government debt

Bank debt

Other debt instruments

Equity instruments

Others

OTHER COLLATERAL RECEIVED AS GUARANTEE FOR OTHER CLIENT OPERATIONS

COLLATERAL DELIVERED AS GUARANTEE FOR CLIENT ACCOUNTS

IN REPOS

Government debt

Bank debt

Other debt instruments

IN SECURITIES LENDING

Cash

Government debt

Bank debt

Other debt instruments

Equity instruments

Letters of credit

IN DERIVATIVES

Government debt

Bank debt

Other debt instruments

Equity instruments

Others

OTHER COLLATERAL DELIVERED AS GUARANTEE FOR OTHER CLIENT OPERATIONS

DERIVATIVES PURCHASE OPERATIONS

OF CLIENT FUTURES AND FORWARD CONTRACTS (NOTIONAL AMOUNT)

Futures

Forward contracts

OF OPTIONS

OF SWAPS

OF CLIENT DERIVATIVE INSTRUMENT PACKAGES

DERIVATIVES SALE OPERATIONS

OF CLIENT FUTURES AND FORWARD CONTRACTS (NOTIONAL AMOUNT)

Futures

Forward contracts

OF OPTIONS

OF SWAPS

OF CLIENT DERIVATIVE INSTRUMENT PACKAGES

ADMINISTERED TRUSTS

OPERATIONS FOR OWN ACCOUNT

CONTINGENT ASSETS AND LIABILITIES

COLLATERAL RECEIVED BY THE ENTITY

CASH ADMINISTERED IN TRUST

GOVERNMENT DEBT

BANK DEBT

OTHER DEBT INSTRUMENTS

EQUITY INSTRUMENTS

OTHERS

COLLATERAL RECEIVED AND SOLD OR DELIVERED AS GUARANTEE BY THE ENTITY

GOVERNMENT DEBT

BANK DEBT

OTHER DEBT INSTRUMENTS

EQUITY INSTRUMENTS

OTHERS

OTHER REGISTRATION ACCOUNTS

ASSET

LIQUIDITIES

CASH

BANKS

DEPOSITS IN FINANCIAL ENTITIES

CURRENCIES TO BE DELIVERED

OTHER LIQUIDITIES

COINED PRECIOUS METALS

OTHER LIQUIDITIES

RESTRICTED LIQUIDITIES OR GIVEN AS GUARANTEE

CURRENCIES TO BE RECEIVED

CASH ADMINISTERED IN TRUST

OTHER RESTRICTED LIQUIDITIES OR GIVEN AS GUARANTEE

MARGIN ACCOUNTS (DERIVATIVES)

CASH

SECURITIES

OTHER ASSETS

INVESTMENTS IN SECURITIES

TRADING SECURITIES

TRADING SECURITIES WITHOUT RESTRICTION

Government debt

In position

To be delivered

Bank debt

In position

To be delivered

Other debt instruments

In position

To be delivered

Equity instruments

In position

To be delivered

TRADING SECURITIES RESTRICTED OR GIVEN AS GUARANTEE IN REPO OPERATIONS

Government debt

Bank debt

Other debt instruments

TRADING SECURITIES RESTRICTED OR GIVEN AS GUARANTEE IN SECURITIES LENDING OPERATIONS

Government debt

Bank debt

Other debt instruments

Equity instruments

TRADING SECURITIES RESTRICTED OR GIVEN AS GUARANTEE (OTHERS)

Government debt

In position

To be received

Bank debt

In position

To be received

Other debt instruments

In position

To be received

Equity instruments

In position

To be received

AVAILABLE FOR SALE SECURITIES

AVAILABLE FOR SALE SECURITIES WITHOUT RESTRICTION

Government debt

In position

To be delivered

Bank debt

In position

To be delivered

Other debt instruments

In position

To be delivered

Equity instruments

In position

To be delivered

AVAILABLE FOR SALE SECURITIES RESTRICTED OR GIVEN AS GUARANTEE IN REPO OPERATIONS

Government debt

Bank debt

Other debt instruments

AVAILABLE FOR SALE SECURITIES RESTRICTED OR GIVEN AS GUARANTEE IN SECURITIES LENDING OPERATIONS

Government debt

Bank debt

Other debt instruments

Equity instruments

AVAILABLE FOR SALE SECURITIES RESTRICTED OR GIVEN AS GUARANTEE (OTHERS)

Government debt

In position

To be received

Bank debt

In position

To be received

Other debt instruments

In position

To be received

Equity instruments

In position

To be received

HELD-TO-MATURITY SECURITIES

HELD-TO-MATURITY SECURITIES WITHOUT RESTRICTION

Government debt

In position

To be delivered

Bank debt

In position

To be delivered

Other debt instruments

In position

To be delivered

HELD-TO-MATURITY SECURITIES RESTRICTED OR GIVEN AS GUARANTEE IN REPO OPERATIONS

Government debt

Bank debt

Other debt instruments

HELD-TO-MATURITY SECURITIES RESTRICTED OR GIVEN AS GUARANTEE IN SECURITIES LENDING OPERATIONS

Government debt

Bank debt

Other debt instruments

HELD-TO-MATURITY SECURITIES RESTRICTED OR GIVEN AS GUARANTEE (OTHERS)

Government debt

In position

To be received

Bank debt

In position

To be received

Other debt instruments

In position

To be received

RECEIVABLES FOR REPOS

SECURITIES LENDING

PREMIUMS TO BE RECEIVED

DERIVATIVES

FOR TRADING PURPOSES

FUTURES TO BE RECEIVED

Valuation

FORWARDS TO BE RECEIVED

Valuation

Impairment

OPTIONS

Valuation

Impairment

SWAPS

Valuation

Impairment

DERIVATIVE INSTRUMENT PACKAGES

Valuation

Impairment

FOR HEDGING PURPOSES

FUTURES TO BE RECEIVED

Valuation

Primary position valuation

FORWARDS TO BE RECEIVED

Valuation

Primary position valuation

Impairment

OPTIONS

Valuation

Primary position valuation

Impairment

SWAPS

Valuation

Primary position valuation

Impairment

DERIVATIVE INSTRUMENT PACKAGES

Valuation

Primary position valuation

Impairment

FAIR VALUE ADJUSTMENTS FOR FINANCIAL ASSET HEDGING

BENEFITS TO BE RECEIVED IN SECURITIZATION OPERATIONS

BENEFITS ON THE REMAINDER IN SECURITIZATION OPERATIONS

ASSET FOR ADMINISTRATION OF TRANSFERRED FINANCIAL ASSETS

ACCOUNTS RECEIVABLE

RECEIVABLES FOR SETTLEMENT OF OPERATIONS

CURRENCY TRADING

INVESTMENTS IN SECURITIES

REPOS

SECURITIES LENDING

DERIVATIVES

FOR ISSUANCE OF SECURITIES

RECEIVABLES FOR MARGIN ACCOUNTS (DERIVATIVES)

RECEIVABLES FOR CASH COLLATERAL GRANTED

TRUST RIGHTS

OTHER RECEIVABLES

ESTIMATE FOR UNCOLLECTABILITY OR DIFFICULT COLLECTION

REAL ESTATE, FURNITURE AND EQUIPMENT

REAL ESTATE, FURNITURE AND EQUIPMENT

LAND

BUILDINGS

CONSTRUCTIONS IN PROCESS

TRANSPORTATION EQUIPMENT

COMPUTER EQUIPMENT

FURNITURE

ADAPTATIONS AND IMPROVEMENTS

OTHER REAL ESTATE, FURNITURE AND EQUIPMENT

REVALUATION OF REAL ESTATE, FURNITURE AND EQUIPMENT (1)

LAND

BUILDINGS

CONSTRUCTIONS IN PROCESS

TRANSPORTATION EQUIPMENT

COMPUTER EQUIPMENT

FURNITURE

ADAPTATIONS AND IMPROVEMENTS

OTHER REVALUATIONS OF REAL ESTATE, FURNITURE AND EQUIPMENT

ACCUMULATED DEPRECIATION OF REAL ESTATE, FURNITURE AND EQUIPMENT

BUILDINGS

TRANSPORTATION EQUIPMENT

COMPUTER EQUIPMENT

FURNITURE

ADAPTATIONS AND IMPROVEMENTS

OTHER ACCUMULATED DEPRECIATIONS OF REAL ESTATE, FURNITURE AND EQUIPMENT

REVALUATION OF ACCUMULATED DEPRECIATION OF REAL ESTATE, FURNITURE AND EQUIPMENT (1)

BUILDINGS

TRANSPORTATION EQUIPMENT

COMPUTER EQUIPMENT

FURNITURE

ADAPTATIONS AND IMPROVEMENTS

OTHER REVALUATIONS OF ACCUMULATED DEPRECIATION OF REAL ESTATE, FURNITURE AND EQUIPMENT

PERMANENT INVESTMENTS

SUBSIDIARIES

BELONGING TO THE FINANCIAL SECTOR

NOT BELONGING TO THE FINANCIAL SECTOR

ASSOCIATES

BELONGING TO THE FINANCIAL SECTOR

NOT BELONGING TO THE FINANCIAL SECTOR

OTHER PERMANENT INVESTMENTS

BELONGING TO THE FINANCIAL SECTOR

NOT BELONGING TO THE FINANCIAL SECTOR

LONG-TERM ASSETS AVAILABLE FOR SALE

SUBSIDIARIES

BELONGING TO THE FINANCIAL SECTOR

NOT BELONGING TO THE FINANCIAL SECTOR

ASSOCIATES

BELONGING TO THE FINANCIAL SECTOR

NOT BELONGING TO THE FINANCIAL SECTOR

OTHER LONG-TERM ASSETS AVAILABLE FOR SALE

BELONGING TO THE FINANCIAL SECTOR

NOT BELONGING TO THE FINANCIAL SECTOR

DEFERRED TAXES AND PTU (IN FAVOR)

DEFERRED INCOME TAXES (IN FAVOR)

DEFERRED EMPLOYEE PARTICIPATION IN PROFITS (IN FAVOR)

ESTIMATE FOR NON-RECOVERABLE DEFERRED TAXES AND PTU

OTHER ASSETS

DEFERRED CHARGES, PREPAID EXPENSES AND INTANGIBLES

DEFERRED CHARGES

Discount to be amortized on issued securities

Financial cost to be amortized in capitalizable lease operations

Expenses for issuance of securities

Insurance to be amortized

Other deferred charges

PREPAID EXPENSES

Interest paid in advance

Commissions paid in advance

Advances or provisional payments of taxes

Rent paid in advance

Other prepaid expenses

INTANGIBLES

Goodwill

From subsidiaries

From associates

Revaluation of goodwill (1)

From subsidiaries

From associates

Organization expenses

Revaluation of organization expenses (1)

Accumulated amortization of organization expenses

Revaluation of accumulated amortization of organization expenses (1)

Other intangibles

Revaluation of other intangibles (1)

Accumulated amortization of other intangibles

Revaluation of accumulated amortization of other intangibles (1)

OTHER SHORT AND LONG-TERM ASSETS

ASSETS OF THE PLAN TO COVER EMPLOYEE BENEFITS

Long-term direct benefits

Termination benefits

Termination benefits for reasons other than restructuring

Termination benefits due to restructuring

Post-employment benefits

Pensions

Seniority bonus

Other post-employment benefits

OTHERS

LIABILITY

MARKET LIABILITIES

BANK LOANS AND LOANS FROM OTHER ENTITIES

SHORT-TERM

LOANS FROM MULTIPLE BANKING INSTITUTIONS

LOANS FROM DEVELOPMENT BANKING INSTITUTIONS

LOANS FROM OTHER ENTITIES

LONG-TERM

LOANS FROM MULTIPLE BANKING INSTITUTIONS

LOANS FROM DEVELOPMENT BANKING INSTITUTIONS

LOANS FROM OTHER ENTITIES

SECURITIES ASSIGNED FOR SETTLEMENT

CREDITOR FOR REPOS

SECURITIES LENDING

PREMIUMS TO BE DELIVERED

COLLATERAL SOLD OR GIVEN AS GUARANTEE

REPOS

OBLIGATION OF THE REPO PARTY TO RETURN THE COLLATERAL TO THE REPO PARTY

Sold collateral

Government debt

Bank debt

Other debt instruments

Collateral given as guarantee

SECURITIES LENDING

OBLIGATION OF THE BORROWER TO RETURN THE SECURITIES SUBJECT TO THE OPERATION TO THE LENDER

Sold collateral

Government debt

Bank debt

Other debt instruments

Equity instruments

OBLIGATION OF THE LENDER TO RETURN THE COLLATERAL TO THE BORROWER

Sold collateral

Government debt

Bank debt

Other debt instruments

Equity instruments

DERIVATIVES

SOLD COLLATERAL

Government debt

Bank debt

Other debt instruments

Equity instruments

Others

OTHER SOLD COLLATERAL

DERIVATIVES

FOR TRADING PURPOSES

FUTURES TO BE DELIVERED

Valuation

FORWARDS TO BE DELIVERED

Valuation

Impairment

OPTIONS

Valuation

Impairment

SWAPS

Valuation

Impairment

DERIVATIVE INSTRUMENT PACKAGES

Valuation

Impairment

FOR HEDGING PURPOSES

FUTURES TO BE DELIVERED

Valuation

Primary position valuation

FORWARDS TO BE DELIVERED

Valuation

Primary position valuation

Impairment

OPTIONS

Valuation

Primary position valuation

Impairment

SWAPS

Valuation

Primary position valuation

Impairment

DERIVATIVE INSTRUMENT PACKAGES

Valuation

Primary position valuation

Impairment

FAIR VALUE ADJUSTMENTS FOR FINANCIAL LIABILITY HEDGING

LIABILITIES IN SECURITIZATION OPERATIONS

LIABILITIES FOR ADMINISTRATION OF TRANSFERRED FINANCIAL ASSETS

OTHER ACCOUNTS PAYABLE

INCOME TAXES PAYABLE

INCOME TAXES (PROVISIONAL PAYMENTS)

INCOME TAXES (REAL CALCULATION)

EMPLOYEE PARTICIPATION IN PROFITS PAYABLE

CONTRIBUTIONS FOR FUTURE CAPITAL INCREASES PENDING FORMALIZATION IN SHAREHOLDERS' MEETING

CREDITOR FOR SETTLEMENT OF OPERATIONS

CURRENCY TRADING

INVESTMENTS IN SECURITIES

REPOS

SECURITIES LENDING

DERIVATIVES

CREDITOR FOR MARGIN ACCOUNTS

CREDITOR FOR CASH COLLATERAL RECEIVED

OTHER CREDITORS AND OTHER ACCOUNTS PAYABLE

COMMISSIONS PAYABLE ON ONGOING OPERATIONS

LIABILITY FOR CAPITALIZABLE LEASE

DEPOSITS AS GUARANTEE

CREDITOR FOR ASSET ACQUISITION

DIVIDENDS PAYABLE

CREDITOR FOR MAINTENANCE SERVICE

VALUE ADDED TAX

OTHER TAXES AND DUTIES PAYABLE

TAXES AND SOCIAL SECURITY CONTRIBUTIONS WITHHELD FOR REMITTANCE

SHORT-TERM DIRECT BENEFITS

PROVISION FOR EMPLOYEE BENEFITS

Long-term direct benefits

Post-employment benefits

Pensions

Seniority bonus

Other post-employment benefits

Termination benefits

Termination benefits for reasons other than restructuring

Termination benefits due to restructuring

PROVISIONS FOR DIVERSE OBLIGATIONS

Fees

Rent

Promotion and advertising expenses

Technology expenses

Other provisions

OTHER DIVERSE CREDITORS

SUBORDINATED OBLIGATIONS IN CIRCULATION

SUBORDINATED OBLIGATIONS

OF FORCED CONVERSION

OF HOLDER'S DECISION CONVERSION

OF ISSUER ENTITY'S DECISION CONVERSION

NON-CONVERTIBLE

DEFERRED TAXES AND PTU (AT CHARGE)

DEFERRED INCOME TAXES (AT CHARGE)

DEFERRED EMPLOYEE PARTICIPATION IN PROFITS (AT CHARGE)

DEFERRED CREDITS AND ADVANCED CHARGES

DEFERRED CREDITS

OTHER INCOMES TO BE APPLIED

PREMIUM TO AMORTIZE FOR DEBT PLACEMENT

OTHER DEFERRED CREDITS

ADVANCED CHARGES

Interest collected in advance

Commissions collected in advance

Advanced charges of goods promised for sale or with reservation of ownership

Other advanced charges

ACCOUNTING CAPITAL

CONTRIBUTED CAPITAL

SOCIAL CAPITAL

FIXED

VARIABLE

UNPAID SOCIAL CAPITAL

FIXED

VARIABLE

INCREASE BY UPDATING PAID SOCIAL CAPITAL (1)

FIXED

VARIABLE

CONTRIBUTIONS FOR FUTURE CAPITAL INCREASES FORMALIZED IN SHAREHOLDERS' MEETING

INCREASE BY UPDATING CONTRIBUTIONS FOR FUTURE CAPITAL INCREASES FORMALIZED IN SHAREHOLDERS' MEETING (1)

PREMIUM ON SHARE SALE

INCREASE BY UPDATING PREMIUM ON SHARE SALE (1)

SUBORDINATED OBLIGATIONS IN CIRCULATION

INCREASE BY UPDATING SUBORDINATED OBLIGATIONS IN CIRCULATION (1)

EARNED CAPITAL

CAPITAL RESERVES

LEGAL RESERVE

OTHER RESERVES

INCREASE BY UPDATING CAPITAL RESERVES (1)

RESULTS OF PRIOR PERIODS

RESULT TO BE APPLIED

RESULT FROM ACCOUNTING CHANGES AND ERROR CORRECTIONS

INCREASE BY UPDATING RESULTS OF PRIOR PERIODS (1)

RESULT FROM VALUATION OF AVAILABLE FOR SALE SECURITIES

VALUATION

MONETARY POSITION RESULT (1)

EFFECT OF DEFERRED INCOME TAXES

ESTIMATE FOR NON-RECOVERABLE DEFERRED INCOME TAXES

INCREASE BY UPDATING RESULT FROM VALUATION OF AVAILABLE FOR SALE SECURITIES (1)

RESULT FROM VALUATION OF CASH FLOW HEDGING INSTRUMENTS

VALUATION

MONETARY POSITION RESULT (1)

EFFECT OF DEFERRED INCOME TAXES

ESTIMATE FOR NON-RECOVERABLE DEFERRED INCOME TAXES

INCREASE BY UPDATING RESULT FROM VALUATION OF CASH FLOW HEDGING INSTRUMENTS (1)

ACCUMULATED EFFECT FROM CONVERSION

VALUATION

MONETARY POSITION RESULT (1)

EFFECT OF DEFERRED INCOME TAXES

ESTIMATE FOR NON-RECOVERABLE DEFERRED INCOME TAXES

INCREASE BY UPDATING ACCUMULATED EFFECT FROM CONVERSION (1)

REMEDIATIONS FOR DEFINED EMPLOYEE BENEFITS

ACTUARIAL RESULTS IN OBLIGATIONS

Valuation

Monetary position result (1)

Effect of deferred income taxes

Estimate for non-recoverable deferred income taxes

RESULT IN THE RETURN OF PLAN ASSETS

Valuation

Monetary position result (1)

Effect of deferred income taxes

Estimate for non-recoverable deferred income taxes

INCREASE BY UPDATING REMEDIATIONS FOR DEFINED EMPLOYEE BENEFITS (1)

RESULT FROM HOLDING NON-MONETARY ASSETS

FROM VALUATION OF FIXED ASSET

INCREASE BY UPDATING RESULT FROM HOLDING NON-MONETARY ASSETS (1)

NET RESULT

(1) These concepts will be applicable under an inflationary economic environment based on what is established in the Financial Reporting Standard B-10 "Effects of Inflation", issued by the Mexican Council of Financial Reporting Standards, A.C. (CINIF).

Brokerage Houses

Series R10 Reclassifications

Report A-1012 Reclassifications in the income statement

Includes figures in national currency, foreign currency and UDIS valued in pesos

Figures in pesos

Concept

Minimum catalog balance

Derivatives expensed for trading purposes

Derivatives expensed for hedging purposes

Adjustments for discontinued operations

Other compensations

Financial statement of the brokerage house

N.U. and UDIS

F.C.

Total

Debit

Credit

Debit

Credit

Debit

Credit

Debit

Credit

COMMISSIONS AND FEES CHARGED

SECURITIES TRADING

TRUST ACTIVITIES

CUSTODY OR ADMINISTRATION OF ASSETS

PUBLIC OFFERINGS

OF SECURITIES REGISTERED IN THE RNV

OF OTHER SECURITIES

OPERATIONS WITH GOLD AND SILVER

FINANCIAL INTERMEDIATION

OPERATIONS WITH INVESTMENT COMPANIES

OTHER COMMISSIONS AND FEES CHARGED

INCREASE BY UPDATING COMMISSIONS AND FEES CHARGED (1)

COMMISSIONS AND FEES PAID

SECURITIES TRADING

FUND TRANSFER

LOANS RECEIVED

DEBT PLACEMENT

MEXICAN STOCK EXCHANGE

FINANCIAL INTERMEDIARIES

INDEVAL

OTHER COMMISSIONS AND FEES PAID

INCREASE BY UPDATING COMMISSIONS AND FEES PAID (1)

FINANCIAL ADVISORY INCOME

FINANCIAL ADVISORY INCOME

INCREASE BY UPDATING FINANCIAL ADVISORY INCOME (1)

RESULT FROM SERVICES

PROFIT FROM TRADING

TRADING SECURITIES

AVAILABLE FOR SALE SECURITIES

HELD-TO-MATURITY SECURITIES

DERIVATIVES FOR TRADING PURPOSES

DERIVATIVES FOR HEDGING PURPOSES

SALE OF RECEIVED COLLATERAL

CURRENCIES

COINED PRECIOUS METALS

INCREASE BY UPDATING PROFIT FROM TRADING (1)

LOSS FROM TRADING

TRADING SECURITIES

AVAILABLE FOR SALE SECURITIES

HELD-TO-MATURITY SECURITIES

DERIVATIVES FOR TRADING PURPOSES

DERIVATIVES FOR HEDGING PURPOSES

SALE OF RECEIVED COLLATERAL

CURRENCIES

COINED PRECIOUS METALS

TRANSACTION COSTS

FOR TRADING SECURITIES

FOR DERIVATIVES TRADING

INCREASE BY UPDATING LOSS FROM TRADING (1)

INTEREST INCOME

INTEREST ON LIQUIDITIES

BANKS

RESTRICTED LIQUIDITIES OR GIVEN AS GUARANTEE

INTERESTS AND YIELDS IN FAVOR ARISING FROM MARGIN ACCOUNTS

CASH

SECURITIES

OTHER ASSETS

INTERESTS AND YIELDS IN FAVOR ARISING FROM INVESTMENTS IN SECURITIES

FOR TRADING SECURITIES

FOR AVAILABLE FOR SALE SECURITIES

FOR HELD-TO-MATURITY SECURITIES

INTERESTS AND YIELDS IN FAVOR IN REPO OPERATIONS

INCOME ARISING FROM HEDGING OPERATIONS

PREMIUMS IN FAVOR IN SECURITIES LENDING OPERATIONS

PREMIUMS FOR DEBT PLACEMENT

MARKET LIABILITIES

SUBORDINATED OBLIGATIONS

DIVIDENDS FROM EQUITY INSTRUMENTS

PROFIT FROM VALUATION

PROFIT FROM VALUATION CHANGES

VALUATION OF INDEXED INSTRUMENTS

VALUATION OF UDIS ITEMS

INCREASE BY UPDATING INTEREST INCOME (1)

INTEREST EXPENSES

INTERESTS ON MARKET LIABILITIES

INTERESTS ON BANK LOANS AND LOANS FROM OTHER ENTITIES

INTERESTS ON SUBORDINATED OBLIGATIONS

OF FORCED CONVERSION

OF HOLDER'S DECISION CONVERSION

OF ISSUER ENTITY'S DECISION CONVERSION

NON-CONVERTIBLE

INTERESTS AND YIELDS AT CHARGE IN REPO OPERATIONS

EXPENSES ARISING FROM HEDGING OPERATIONS

PREMIUMS AT CHARGE IN SECURITIES LENDING OPERATIONS

DISCOUNTS FOR DEBT PLACEMENT

MARKET LIABILITIES

SUBORDINATED OBLIGATIONS

EMISSION EXPENSES FOR DEBT PLACEMENT

LOSS FROM VALUATION

LOSS FROM VALUATION CHANGES

VALUATION OF INDEXED INSTRUMENTS

VALUATION OF UDIS ITEMS

INCREASE BY UPDATING INTEREST EXPENSES (1)

RESULT FROM FAIR VALUE VALUATION

RESULT FROM FAIR VALUE VALUATION

TRADING SECURITIES

DERIVATIVES FOR TRADING PURPOSES

DERIVATIVES FOR HEDGING PURPOSES

OF AVAILABLE FOR SALE SECURITIES IN FAIR VALUE HEDGES

SOLD COLLATERAL

LOSS FROM IMPAIRMENT OR EFFECT FROM REVERSAL OF IMPAIRMENT OF SECURITIES AND DERIVATIVES

AVAILABLE FOR SALE SECURITIES

HELD-TO-MATURITY SECURITIES

DERIVATIVES

RESULT FROM CURRENCY VALUATION

RESULT FROM VALUATION OF COINED PRECIOUS METALS

INCREASE BY UPDATING RESULT FROM FAIR VALUE VALUATION (1)

NET MONETARY POSITION RESULT (FINANCIAL MARGIN FROM INTERMEDIATION)

MONETARY POSITION RESULT ARISING FROM POSITIONS THAT GENERATE FINANCIAL MARGIN (DEBIT BALANCE)

MONETARY POSITION RESULT ARISING FROM POSITIONS THAT GENERATE FINANCIAL MARGIN (CREDIT BALANCE)

INCREASE BY UPDATING NET MONETARY POSITION RESULT (FINANCIAL MARGIN) (1)

FINANCIAL MARGIN FROM INTERMEDIATION

OTHER INCOME (EXPENSES) FROM OPERATIONS

RECOVERIES

TAXES

EXCESS IN BENEFITS TO BE RECEIVED IN SECURITIZATION OPERATIONS

OTHER RECOVERIES

FINANCIAL COST FOR CAPITALIZABLE LEASE

AFFECTATIONS TO THE ESTIMATE FOR UNCOLLECTABILITY OR DIFFICULT COLLECTION

LOSSES

FRAUDS

DISASTERS

OTHER LOSSES

DIVIDENDS FROM PERMANENT INVESTMENTS

DIVIDENDS FROM OTHER PERMANENT INVESTMENTS

DIVIDENDS FROM PERMANENT INVESTMENTS IN ASSOCIATES AVAILABLE FOR SALE

DONATIONS

LOSS IN CUSTODY AND ADMINISTRATION OF ASSETS

LOSS IN TRUST OPERATIONS

LOSS FROM IMPAIRMENT OR EFFECT FROM REVERSAL OF IMPAIRMENT

OF REAL ESTATE

OF GOODWILL

OF OTHER PERMANENT INVESTMENTS VALUED AT COST

OF OTHER LONG-TERM ASSETS

OF OTHER ASSETS

INTERESTS AT CHARGE IN FINANCING FOR ASSET ACQUISITION

PROFIT FROM SALE OF REAL ESTATE FURNITURE AND EQUIPMENT

CANCELLATION OF THE ESTIMATE FOR UNCOLLECTABILITY OR DIFFICULT COLLECTION

CANCELLATION OF OTHER LIABILITY ACCOUNTS

INTERESTS IN FAVOR ARISING FROM LOANS TO OFFICIALS AND EMPLOYEES

INCOME FROM LEASING

PROFIT FROM VALUATION OF BENEFITS TO BE RECEIVED IN SECURITIZATION OPERATIONS

PROFIT FROM VALUATION OF ASSET FOR ADMINISTRATION OF TRANSFERRED ASSETS

PROFIT FROM VALUATION OF LIABILITY FOR

TRANSFERRED ASSET MANAGEMENT

LOSS ON SALE OF REAL ESTATE, FURNITURE, AND EQUIPMENT

LOSS FROM VALUATION OF BENEFITS RECEIVABLE IN SECURITIZATION OPERATIONS

LOSS FROM VALUATION OF ASSET FOR

MANAGEMENT OF TRANSFERRED FINANCIAL ASSETS

LOSS FROM VALUATION OF LIABILITY FOR

MANAGEMENT OF TRANSFERRED FINANCIAL ASSETS

LOSS ON BENEFITS RECEIVABLE IN SECURITIZATION OPERATIONS

OTHER ITEMS OF OPERATING INCOME (EXPENSES)

MONETARY POSITION RESULT ORIGINATED BY

ITEMS NOT RELATED TO THE FINANCIAL MARGIN (1)

RESULT FROM VALUATION OF ITEMS NOT

RELATED TO THE FINANCIAL MARGIN

INCREASE FROM UPDATING OF OTHER OPERATING INCOME (EXPENSES) (1)

ADMINISTRATION AND PROMOTION EXPENSES

SHORT-TERM DIRECT BENEFITS

NET COST OF THE PERIOD DERIVED FROM EMPLOYEE BENEFITS

LONG-TERM DIRECT BENEFITS

POST-EMPLOYMENT BENEFITS

Pensions

Seniority premium

Other post-employment benefits

TERMINATION BENEFITS

Termination benefits for reasons other than restructuring

Termination benefits due to restructuring

EMPLOYEES' PARTICIPATION IN PROFITS

EMPLOYEES' PARTICIPATION IN PROFITS ACCRUED

EMPLOYEES' PARTICIPATION IN PROFITS DEFERRED

ESTIMATE FOR NON-RECOVERABLE DEFERRED PTU

FEES

RENTS

PROMOTION AND ADVERTISING EXPENSES

FEES TO THE AMIB

VARIOUS TAXES AND FEES

NON-DEDUCTIBLE EXPENSES

TECHNOLOGY EXPENSES

DEPRECIATIONS

AMORTIZATIONS

TELEPHONES AND COMMUNICATION EXPENSES

INSPECTION AND SUPERVISION FEES CNBV

CONSERVATION AND MAINTENANCE EXPENSES

OTHER ADMINISTRATION AND PROMOTION EXPENSES

INCREASE FROM UPDATING OF ADMINISTRATION AND PROMOTION EXPENSES (1)

OPERATING RESULT

PARTICIPATION IN THE RESULT OF UNCONSOLIDATED SUBSIDIARIES AND ASSOCIATES

RESULT OF THE PERIOD OF UNCONSOLIDATED SUBSIDIARIES AND ASSOCIATES

IN UNCONSOLIDATED SUBSIDIARIES

Belonging to the financial sector

Not belonging to the financial sector

IN ASSOCIATES

Belonging to the financial sector

Not belonging to the financial sector

INCREASE FROM UPDATING OF PARTICIPATION IN THE RESULT OF UNCONSOLIDATED SUBSIDIARIES AND ASSOCIATES (1)

RESULT BEFORE TAXES ON INCOME

TAXES ON INCOME ACCRUED

TAXES ON INCOME ACCRUED

INCREASE FROM UPDATING OF TAXES ON INCOME ACCRUED (1)

DEFERRED INCOME TAXES

DEFERRED INCOME TAXES

ESTIMATE FOR NON-RECOVERABLE INCOME TAXES

INCREASE FROM UPDATING OF DEFERRED INCOME TAXES (1)

RESULT BEFORE DISCONTINUED OPERATIONS

DISCONTINUED OPERATIONS

DISCONTINUED OPERATIONS

INCREASE FROM UPDATING OF DISCONTINUED OPERATIONS (1)

NET RESULT

(1) These concepts will be applicable under an inflationary economic environment based on what is established in Financial Reporting Standard B-10 "Effects of Inflation", issued by the Mexican Council of Financial Reporting Standards, A.C. (CINIF).

SERIES R12 CONSOLIDATION

This series is integrated by two (2) reports, whose frequency of preparation and presentation must be quarterly.

REPORTS

A-1219

Consolidation of the general balance sheet of the brokerage house with its subsidiaries

It refers to the eliminations that must be made in order to consolidate the information of the brokerage house, with the information of its subsidiaries. The report presents the general balance sheet of the brokerage house, the sum of the general balance sheets of the subsidiaries, the sum disaggregated of the balances and the eliminations.

A-1220

Consolidation of the income statement of the brokerage house with its subsidiaries

It refers to the eliminations that must be made in order to consolidate the information of the brokerage house with the information of its subsidiaries. The report presents the income statement of the brokerage house, the sum of the income statements of the subsidiaries, the disaggregated sum of the income statements and the eliminations.

The data referring to balances and amounts must be presented in national currency, VSM and UDIs valued in pesos and foreign currency valued in pesos using the exchange rate indicated in the current accounting criteria. These amounts and balances must be presented in pesos rounded, without decimals, without commas, without periods and with positive figures. For example: $20,585.70 would be 20586.

CAPTURE FORMAT

Brokerage houses will carry out the sending of the information related to reports A-1219 Consolidation of the general balance sheet of the brokerage house with its subsidiaries, A-1220 Consolidation of the income statement of the brokerage house with its subsidiaries, described above, by means of the use of the following capture format:

REQUESTED INFORMATION

SECTION REPORT IDENTIFIER

PERIOD

ENTITY KEY

NUMBER OF SUBSIDIARIES

SECTION FINANCIAL INFORMATION

SUBSIDIARY KEY

CONCEPT

REPORT

BALANCE TYPE

MOVEMENT TYPE

DATA

Brokerage houses will report the information indicated in this series adjusting to the characteristics and specifications for filling out and sending information presented in the Interinstitutional System for Information Transfer (SITI) or in that which in its case is made known by the National Banking and Securities Commission (CNBV).

Brokerage Houses

Series R12 Consolidation

Report A-1219 Consolidation of the general balance sheet of the brokerage house with its subsidiaries

Includes figures in national currency, foreign currency and UDIs valued in pesos

Figures in pesos

Concept

General
Balance of the B.H.

Sum of the
General
Balance of the subsidiaries

Sum of the
General
Balance of the B.H. and the subsidiaries

Eliminations

General Balance of the B.H. Consolidated with its subsidiaries

Debit
Credit

OFF-BALANCE SHEET ACCOUNTS

CLIENTS CURRENT ACCOUNTS

CLIENTS BANKS

NATIONAL CURRENCY

FOREIGN CURRENCY

CASH IN GUARANTEE FOR LOAN OF SECURITIES

DIVIDENDS COLLECTED FROM CLIENTS

INTERESTS COLLECTED FROM CLIENTS

SETTLEMENT OF CLIENT OPERATIONS

FOR SALE OF SECURITIES

FOR ARBITRAGE

FOR FUTURES OPERATIONS

FOR TRUSTS

S.D. INDEVAL

PREMIUMS COLLECTED FROM CLIENTS

CLIENTS SETTLEMENTS WITH CURRENCIES

MARGIN ACCOUNTS

CREDIT LINES GRANTED TO CLIENTS FOR GUARANTEE

FOR LOAN OF SECURITIES

CREDIT LINES GRANTED TO CLIENTS FOR GUARANTEE

FOR FUTURES OPERATIONS

CREDIT LINES GRANTED TO CLIENTS FOR GUARANTEE

FOR OPTIONS

OTHER CURRENT ACCOUNTS

CLIENT INVESTMENTS DEPOSITED IN BANKS

CUSTODY OPERATIONS

CLIENT SECURITIES RECEIVED IN CUSTODY

GOVERNMENT DEBT

BANK DEBT

OTHER DEBT INSTRUMENTS

EQUITY INSTRUMENTS

Commercial, industrial and service equity instruments

Equity instruments of investment companies

COUPONS

GOLD AND SILVER INVENTORY

SECURITIES IN TRUST

CLIENT SECURITIES ABROAD

MANAGEMENT OPERATIONS

REPO OPERATIONS FOR CLIENT ACCOUNT

DEBTORS FOR REPO FOR CLIENT ACCOUNT

CREDITORS FOR REPO FOR CLIENT ACCOUNT

SECURITIES LOAN OPERATIONS FOR CLIENT ACCOUNT

SECURITIES SUBJECT TO THE OPERATION DELIVERED

Government debt

Bank debt

Other debt instruments

Equity instruments

SECURITIES SUBJECT TO THE OPERATION RECEIVED

Government debt

Bank debt

Other debt instruments

Equity instruments

COLLATERALS RECEIVED AS GUARANTEE FOR CLIENT ACCOUNT

IN REPOS

Government debt

Bank debt

Other debt instruments

IN SECURITIES LOAN

Cash

Government debt

Bank debt

Other debt instruments

Equity instruments

Letters of credit

IN DERIVATIVES

Government debt

Bank debt

Other debt instruments

Equity instruments

Others

OTHER COLLATERALS RECEIVED AS GUARANTEE FOR OTHER OPERATIONS FOR CLIENT ACCOUNT

COLLATERALS DELIVERED AS GUARANTEE FOR CLIENT ACCOUNT

IN REPOS

Government debt

Bank debt

Other debt instruments

IN SECURITIES LOAN

Cash

Government debt

Bank debt

Other debt instruments

Equity instruments

Letters of credit

IN DERIVATIVES

Government debt

Bank debt

Other debt instruments

Equity instruments

Others

OTHER COLLATERALS DELIVERED AS GUARANTEE FOR OTHER OPERATIONS FOR CLIENT ACCOUNT

CLIENT DERIVATIVES PURCHASE OPERATIONS

OF FUTURES AND FORWARDED CONTRACTS OF CLIENTS (NOMINAL AMOUNT)

Futures

Forwarded contracts

OF OPTIONS

OF SWAPS

OF PACKAGES OF CLIENT DERIVATIVE INSTRUMENTS

CLIENT DERIVATIVES SALE OPERATIONS

OF FUTURES AND FORWARDED CONTRACTS OF CLIENTS (NOMINAL AMOUNT)

Futures

Forwarded contracts

OF OPTIONS

OF SWAPS

OF CLIENT DERIVATIVE INSTRUMENT PACKAGES

MANAGED TRUSTS

OPERATIONS FOR OWN ACCOUNT

CONTINGENT ASSETS AND LIABILITIES

COLLATERALS RECEIVED BY THE ENTITY

CASH MANAGED IN TRUST

GOVERNMENT DEBT

BANK DEBT

OTHER DEBT INSTRUMENTS

EQUITY INSTRUMENTS

OTHERS

COLLATERALS RECEIVED AND SOLD OR DELIVERED AS GUARANTEE BY THE ENTITY

GOVERNMENT DEBT

BANK DEBT

OTHER DEBT INSTRUMENTS

EQUITY INSTRUMENTS

OTHERS

OTHER REGISTRATION ACCOUNTS

ASSET

AVAILABILITIES

CASH

BANKS

DEPOSITS IN FINANCIAL ENTITIES

CURRENCIES TO BE DELIVERED

OTHER AVAILABILITIES

COINED PRECIOUS METALS

OTHER AVAILABILITIES

RESTRICTED AVAILABILITIES OR GIVEN AS GUARANTEE

CURRENCIES TO BE RECEIVED

CASH MANAGED IN TRUST

OTHER RESTRICTED AVAILABILITIES OR GIVEN AS GUARANTEE

MARGIN ACCOUNTS (DERIVATIVES)

CASH

SECURITIES

OTHER ASSETS

SECURITIES INVESTMENTS

SECURITIES FOR TRADING

SECURITIES FOR TRADING WITHOUT RESTRICTION

Government debt

In position

To be delivered

Bank debt

In position

To be delivered

Other debt instruments

In position

To be delivered

Equity instruments

In position

To be delivered

SECURITIES FOR TRADING RESTRICTED OR GIVEN AS GUARANTEE IN REPO OPERATIONS

Government debt

Bank debt

Other debt instruments

SECURITIES FOR TRADING RESTRICTED OR GIVEN AS GUARANTEE IN SECURITIES LOAN OPERATIONS

Government debt

Bank debt

Other debt instruments

Equity instruments

SECURITIES FOR TRADING RESTRICTED OR GIVEN AS GUARANTEE (OTHERS)

Government debt

In position

To be received

Bank debt

In position

To be received

Other debt instruments

In position

To be received

Equity instruments

In position

To be received

SECURITIES AVAILABLE FOR SALE

SECURITIES AVAILABLE FOR SALE WITHOUT RESTRICTION

Government debt

In position

To be delivered

Bank debt

In position

To be delivered

Other debt instruments

In position

To be delivered

Equity instruments

In position

To be delivered

SECURITIES AVAILABLE FOR SALE RESTRICTED OR GIVEN AS GUARANTEE IN REPO OPERATIONS

Government debt

Bank debt

Other debt instruments

SECURITIES AVAILABLE FOR SALE RESTRICTED OR GIVEN AS GUARANTEE IN SECURITIES LOAN OPERATIONS

Government debt

Bank debt

Other debt instruments

Equity instruments

SECURITIES AVAILABLE FOR SALE RESTRICTED OR GIVEN AS GUARANTEE (OTHERS)

Government debt

In position

To be received

Bank debt

In position

To be received

Other debt instruments

In position

To be received

Equity instruments

In position

To be received

SECURITIES HELD TO MATURITY

SECURITIES HELD TO MATURITY WITHOUT RESTRICTION

Government debt

In position

To be delivered

Bank debt

In position

To be delivered

Other debt instruments

In position

To be delivered

SECURITIES HELD TO MATURITY RESTRICTED OR GIVEN AS GUARANTEE IN REPO OPERATIONS

Government debt

Bank debt

Other debt instruments

SECURITIES HELD TO MATURITY RESTRICTED OR GIVEN AS GUARANTEE IN SECURITIES LOAN OPERATIONS

Government debt

Bank debt

Other debt instruments

SECURITIES HELD TO MATURITY RESTRICTED OR GIVEN AS GUARANTEE (OTHERS)

Government debt

In position

To be received

Bank debt

In position

To be received

Other debt instruments

In position

To be received

DEBTORS FOR REPO

SECURITIES LOAN

PREMIUMS TO BE RECEIVED

DERIVATIVES

FOR TRADING PURPOSES

FUTURES TO BE RECEIVED

Valuation

FORWARDED CONTRACTS TO BE RECEIVED

Valuation

Impairment

OPTIONS

Valuation

Impairment

SWAPS

Valuation

Impairment

PACKAGES OF DERIVATIVE INSTRUMENTS

Valuation

Impairment

FOR HEDGING PURPOSES

FUTURES TO BE RECEIVED

Valuation

Valuation of the primary position

FORWARDED CONTRACTS TO BE RECEIVED

Valuation

Valuation of the primary position

Impairment

OPTIONS

Valuation

Valuation of the primary position

Impairment

SWAPS

Valuation

Valuation of the primary position

Impairment

PACKAGES OF DERIVATIVE INSTRUMENTS

Valuation

Valuation of the primary position

Impairment

VALUATION ADJUSTMENTS FOR HEDGING OF FINANCIAL ASSETS

BENEFITS RECEIVABLE IN SECURITIZATION OPERATIONS

BENEFITS ON THE REMAINDER IN SECURITIZATION OPERATIONS

ASSET FOR MANAGEMENT OF TRANSFERRED FINANCIAL ASSETS

ACCOUNTS RECEIVABLE

DEBTORS FOR SETTLEMENT OF OPERATIONS

CURRENCY EXCHANGE

SECURITIES INVESTMENTS

REPOS

SECURITIES LOAN

DERIVATIVES

FOR ISSUANCE OF SECURITIES

DEBTORS FOR MARGIN ACCOUNTS (DERIVATIVES)

DEBTORS FOR COLLATERALS GRANTED IN CASH

FIDUCIARY RIGHTS

VARIOUS DEBTORS

PREMIUMS, COMMISSIONS AND FEES TO BE RECEIVED

CURRENT ACCOUNT AND MARGIN CLIENTS

BALANCES IN FAVOR OF TAXES AND CREDITABLE TAXES

LOANS AND OTHER DEBTS OF PERSONNEL

OTHER DEBTORS

ESTIMATE FOR UNRECOVERABILITY OR DIFFICULT COLLECTION

REAL ESTATE, FURNITURE, AND EQUIPMENT

REAL ESTATE, FURNITURE, AND EQUIPMENT

LAND

BUILDINGS

BUILDINGS IN PROCESS

TRANSPORT EQUIPMENT

COMPUTER EQUIPMENT

FURNITURE

ADAPTATIONS AND IMPROVEMENTS

OTHER REAL ESTATE, FURNITURE, AND EQUIPMENT

REVALUATION OF REAL ESTATE, FURNITURE, AND EQUIPMENT (1)

LAND

BUILDINGS

BUILDINGS IN PROCESS

TRANSPORT EQUIPMENT

COMPUTER EQUIPMENT

FURNITURE

ADAPTATIONS AND IMPROVEMENTS

OTHER REVALUATIONS OF REAL ESTATE, FURNITURE, AND EQUIPMENT

ACCUMULATED DEPRECIATION OF REAL ESTATE, FURNITURE, AND EQUIPMENT

BUILDINGS

TRANSPORT EQUIPMENT

COMPUTER EQUIPMENT

FURNITURE

ADAPTATIONS AND IMPROVEMENTS

OTHER ACCUMULATED DEPRECIATIONS OF REAL ESTATE, FURNITURE, AND EQUIPMENT

REVALUATION OF ACCUMULATED DEPRECIATION OF REAL ESTATE, FURNITURE, AND EQUIPMENT (1)

BUILDINGS

TRANSPORT EQUIPMENT

COMPUTER EQUIPMENT

FURNITURE

ADAPTATIONS AND IMPROVEMENTS

OTHER REVALUATIONS OF ACCUMULATED DEPRECIATION OF REAL ESTATE, FURNITURE, AND EQUIPMENT

PERMANENT INVESTMENTS

SUBSIDIARIES

BELONGING TO THE FINANCIAL SECTOR

NOT BELONGING TO THE FINANCIAL SECTOR

ASSOCIATES

BELONGING TO THE FINANCIAL SECTOR

NOT BELONGING TO THE FINANCIAL SECTOR

OTHER PERMANENT INVESTMENTS

BELONGING TO THE FINANCIAL SECTOR

NOT BELONGING TO THE FINANCIAL SECTOR

LONG-TERM ASSETS AVAILABLE FOR SALE

SUBSIDIARIES

BELONGING TO THE FINANCIAL SECTOR

NOT BELONGING TO THE FINANCIAL SECTOR

ASSOCIATES

BELONGING TO THE FINANCIAL SECTOR

NOT BELONGING TO THE FINANCIAL SECTOR

OTHER LONG-TERM ASSETS AVAILABLE FOR SALE

BELONGING TO THE FINANCIAL SECTOR

NOT BELONGING TO THE FINANCIAL SECTOR

DEFERRED TAXES AND PTU (IN FAVOR)

DEFERRED INCOME TAXES (IN FAVOR)

DEFERRED EMPLOYEES' PARTICIPATION IN PROFITS (IN FAVOR)

ESTIMATE FOR NON-RECOVERABLE DEFERRED TAXES AND PTU

OTHER ASSETS

DEFERRED CHARGES, PREPAID EXPENSES AND INTANGIBLES

DEFERRED CHARGES

Discount to be amortized on issued securities

Financial cost to be amortized in capitalizable lease operations

Expenses for issuance of securities

Insurance to be amortized

Other deferred charges

PREPAID EXPENSES

Interest paid in advance

Commissions paid in advance

Advances or provisional payments of taxes

Rents paid in advance

Other prepaid expenses

INTANGIBLES

Goodwill

From subsidiaries

From associates

Revaluation of goodwill (1)

From subsidiaries

From associates

Organization expenses

Revaluation of organization expenses (1)

Accumulated amortization of organization expenses

Revaluation of accumulated amortization of organization expenses (1)

Other intangibles

Revaluation of other intangibles (1)

Accumulated amortization of other intangibles

Revaluation of accumulated amortization of other intangibles (1)

OTHER SHORT AND LONG-TERM ASSETS

ASSETS OF THE PLAN TO COVER EMPLOYEE BENEFITS

Long-term direct benefits

Termination benefits

Termination benefits for reasons other than restructuring

Termination benefits due to restructuring

Post-employment benefits

Pensions

Seniority premium

Other post-employment benefits

OTHERS

LIABILITY

MARKET LIABILITIES

BANK LOANS AND LOANS FROM OTHER ENTITIES

SHORT-TERM

LOANS FROM MULTIPLE BANKING INSTITUTIONS

LOANS FROM DEVELOPMENT BANKING INSTITUTIONS

LOANS FROM OTHER ENTITIES

LONG-TERM

LOANS FROM MULTIPLE BANKING INSTITUTIONS

LOANS FROM DEVELOPMENT BANKING INSTITUTIONS

LOANS FROM OTHER ENTITIES

SECURITIES ALLOCATED FOR SETTLEMENT

CREDITORS FOR REPO

SECURITIES LOAN

PREMIUMS TO BE DELIVERED

COLLATERALS SOLD OR GIVEN AS GUARANTEE

REPOS

REPORTING ENTITY'S OBLIGATION TO RESTITUTE THE COLLATERAL TO THE REPORTING PARTY

Collaterals sold

Government debt

Bank debt

Other debt instruments

Collaterals given as guarantee

SECURITIES LOAN

BORROWER'S OBLIGATION TO RESTITUTE SECURITIES SUBJECT TO THE OPERATION TO THE LENDER

Collaterals sold

Government debt

Bank debt

Other debt instruments

Equity instruments

LENDER'S OBLIGATION TO RESTITUTE THE COLLATERAL TO THE BORROWER

Collaterals sold

Government debt

Bank debt

Other debt instruments

Equity instruments

DERIVATIVES

COLLATERALS SOLD

Government debt

Bank debt

Other debt instruments

Equity instruments

Others

OTHER COLLATERALS SOLD

DERIVATIVES

FOR TRADING PURPOSES

FUTURES TO BE DELIVERED

Valuation

FORWARDED CONTRACTS TO BE DELIVERED

Valuation

Impairment

OPTIONS

Valuation

Impairment

SWAPS

Valuation

Impairment

PACKAGES OF DERIVATIVE INSTRUMENTS

Valuation

Impairment

FOR HEDGING PURPOSES

FUTURES TO BE DELIVERED

Valuation

Valuation of the primary position

FORWARDED CONTRACTS TO BE DELIVERED

Valuation

Valuation of the primary position

Impairment

OPTIONS

Valuation

Valuation of the primary position

Impairment

SWAPS

Valuation

Valuation of the primary position

Impairment

PACKAGES OF DERIVATIVE INSTRUMENTS

Valuation

Valuation of the primary position

Impairment

VALUATION ADJUSTMENTS FOR HEDGING OF FINANCIAL LIABILITIES

OBLIGATIONS IN SECURITIZATION OPERATIONS

LIABILITIES FOR MANAGEMENT OF TRANSFERRED FINANCIAL ASSETS

OTHER ACCOUNTS PAYABLE

INCOME TAXES TO BE PAID

INCOME TAXES (PROVISIONAL PAYMENTS)

INCOME TAXES (REAL CALCULATION)

EMPLOYEES' PARTICIPATION IN PROFITS TO BE PAID

CONTRIBUTIONS FOR FUTURE CAPITAL INCREASES

PENDING TO BE FORMALIZED IN SHAREHOLDERS' MEETING

CREDITORS FOR SETTLEMENT OF OPERATIONS

CURRENCY EXCHANGE

SECURITIES INVESTMENTS

REPOS

SECURITIES LOAN

DERIVATIVES

CREDITORS FOR MARGIN ACCOUNTS

CREDITORS FOR COLLATERALS RECEIVED IN CASH

VARIOUS CREDITORS AND OTHER ACCOUNTS PAYABLE

COMMISSIONS TO BE PAID ON ONGOING OPERATIONS

LIABILITY FOR CAPITALIZABLE LEASE

GUARANTEE DEPOSITS

CREDITORS FOR ACQUISITION OF ASSETS

DIVIDENDS TO BE PAID

CREDITORS FOR MAINTENANCE SERVICE

VALUE ADDED TAX

OTHER TAXES AND FEES TO BE PAID

TAXES AND SOCIAL SECURITY CONTRIBUTIONS

WITHHELD FOR REMITTANCE

SHORT-TERM DIRECT BENEFITS

PROVISION FOR EMPLOYEE BENEFITS

Long-term direct benefits

Post-employment benefits

Pensions

Seniority premium

Other post-employment benefits

Termination benefits

Termination benefits for reasons other than restructuring

Termination benefits due to restructuring

PROVISIONS FOR DIVERSE OBLIGATIONS

Fees

Rents

Promotion and advertising expenses

Technology expenses

Other provisions

OTHER DIVERSE CREDITORS

SUBORDINATED OBLIGATIONS IN CIRCULATION

SUBORDINATED OBLIGATIONS

OF FORCED CONVERSION

OF CONVERSION BY HOLDER'S DECISION

OF CONVERSION BY ISSUING ENTITY'S DECISION

NON-CONVERTIBLE

DEFERRED TAXES AND PTU (AT CHARGE)

DEFERRED INCOME TAXES (AT CHARGE)

DEFERRED EMPLOYEES' PARTICIPATION IN PROFITS (AT CHARGE)

DEFERRED CREDITS AND ADVANCED CHARGES

DEFERRED CREDITS

OTHER INCOMES TO BE APPLIED

PREMIUM TO BE AMORTIZED BY PLACEMENT OF DEBT

OTHER DEFERRED CREDITS

ADVANCED CHARGES

INTERESTS COLLECTED IN ADVANCE

COMMISSIONS COLLECTED IN ADVANCE

ADVANCED CHARGES OF GOODS PROMISED FOR SALE OR WITH RESERVATION OF DOMINION

OTHER ADVANCED CHARGES

OWN EQUITY

CONTROLLING INTEREST

CONTRIBUTED CAPITAL

SOCIAL CAPITAL

FIXED

VARIABLE

UNPAID SOCIAL CAPITAL

FIXED

VARIABLE

INCREASE FROM UPDATING OF PAID SOCIAL CAPITAL (1)

FIXED

VARIABLE

CONTRIBUTIONS FOR FUTURE CAPITAL INCREASES

FORMALIZED IN SHAREHOLDERS' MEETING

INCREASE FROM UPDATING OF CONTRIBUTIONS FOR FUTURE CAPITAL INCREASES FORMALIZED IN SHAREHOLDERS' MEETING (1)

SHARE PREMIUM

INCREASE FROM UPDATING OF SHARE PREMIUM (1)

SUBORDINATED OBLIGATIONS IN CIRCULATION

INCREASE FROM UPDATING OF SUBORDINATED OBLIGATIONS IN CIRCULATION (1)

EARNED CAPITAL

CAPITAL RESERVES

LEGAL RESERVE

OTHER RESERVES

INCREASE FROM UPDATING OF CAPITAL RESERVES (1)

RESULT OF PRIOR PERIODS

RESULT TO BE APPLIED

RESULT FROM ACCOUNTING CHANGES AND CORRECTIONS OF ERRORS

INCREASE FROM UPDATING OF RESULT OF PRIOR PERIODS (1)

RESULT FROM VALUATION OF SECURITIES AVAILABLE FOR SALE

VALUATION

MONETARY POSITION RESULT (1)

EFFECT OF DEFERRED INCOME TAXES

ESTIMATE FOR NON-RECOVERABLE DEFERRED INCOME TAXES

INCREASE FROM UPDATING OF RESULT FROM VALUATION OF SECURITIES AVAILABLE FOR SALE (1)

RESULT FROM VALUATION OF CASH FLOW HEDGING INSTRUMENTS

VALUATION

MONETARY POSITION RESULT (1)

EFFECT OF DEFERRED INCOME TAXES

ESTIMATE FOR NON-RECOVERABLE DEFERRED INCOME TAXES

INCREASE FROM UPDATING OF RESULT FROM VALUATION OF CASH FLOW HEDGING INSTRUMENTS (1)

ACCUMULATED EFFECT FROM CONVERSION

VALUATION

MONETARY POSITION RESULT (1)

EFFECT OF DEFERRED INCOME TAXES

ESTIMATE FOR NON-RECOVERABLE DEFERRED INCOME TAXES

INCREASE FROM UPDATING OF ACCUMULATED EFFECT FROM CONVERSION (1)

REMEDIATIONS FOR DEFINED EMPLOYEE BENEFITS

ACTUARIAL RESULTS IN OBLIGATIONS

Valuation

Result from monetary position (1)

Effect of deferred income taxes

Estimate for non-recoverable deferred income taxes

RESULT FROM THE RETURN OF THE PLAN'S ASSETS

Valuation

Result from monetary position (1)

Effect of deferred income taxes

Estimate for non-recoverable deferred income taxes

INCREASE FROM UPDATING REMEDIES FOR

DEFINED BENEFITS TO EMPLOYEES (1)

RESULT FROM HOLDING NON-MONETARY ASSETS

FROM VALUATION OF FIXED ASSETS

INCREASE FROM UPDATING THE RESULT FROM

HOLDING NON-MONETARY ASSETS (1)

NET RESULT

NON-CONTROLLING INTEREST

Net result corresponding to the non-controlling interest

Other non-controlling interest

(1) These items will be applicable under an inflationary economic environment based on what is established in Financial Reporting Standard B-10 "Effects of Inflation", issued by the Mexican Council of Financial Reporting Standards, A.C. (CINIF).

Brokerage Houses

Series R12 Consolidation

Report A-1220 Consolidation of the brokerage house's statement of results with its subsidiaries

Includes figures in national currency, foreign currency, and UDIS valued in pesos

Figures in pesos

Concept

Brokerage House
Statement of Results

Sum of the
Statement of Results of the
Subsidiaries

Sum of the
Statement of Results of the Brokerage House and the Subsidiaries

Eliminations

Consolidated Statement of Results of the Brokerage House with its Subsidiaries

Debit
Credit

COMMISSIONS AND FEES CHARGED

SECURITIES TRADING

FIDUCIARY ACTIVITIES

CUSTODY OR ADMINISTRATION OF ASSETS

PUBLIC OFFERINGS

OF SECURITIES REGISTERED IN THE RNV

OF OTHER SECURITIES

OPERATIONS WITH GOLD AND SILVER

FINANCIAL INTERMEDIATION

OPERATIONS WITH INVESTMENT COMPANIES

OTHER COMMISSIONS AND FEES CHARGED

INCREASE FROM UPDATING COMMISSIONS AND FEES CHARGED (1)

COMMISSIONS AND FEES PAID

SECURITIES TRADING

FUND TRANSFERS

LOANS RECEIVED

DEBT PLACEMENT

MEXICAN STOCK EXCHANGE

FINANCIAL INTERMEDIARIES

INDEVAL

OTHER COMMISSIONS AND FEES PAID

INCREASE FROM UPDATING COMMISSIONS AND FEES PAID (1)

FINANCIAL ADVISORY INCOME

FINANCIAL ADVISORY INCOME

INCREASE FROM UPDATING FINANCIAL ADVISORY INCOME (1)

RESULT FROM SERVICES

GAIN FROM TRADING

TRADING SECURITIES

AVAILABLE FOR SALE SECURITIES

Held-to-Maturity Securities

DERIVATIVES FOR TRADING PURPOSES

DERIVATIVES FOR HEDGING PURPOSES

SALE OF RECEIVED COLLATERAL

CURRENCIES

COINED PRECIOUS METALS

INCREASE FROM UPDATING GAIN FROM TRADING (1)

LOSS FROM TRADING

TRADING SECURITIES

AVAILABLE FOR SALE SECURITIES

Held-to-Maturity Securities

DERIVATIVES FOR TRADING PURPOSES

DERIVATIVES FOR HEDGING PURPOSES

SALE OF RECEIVED COLLATERAL

CURRENCIES

COINED PRECIOUS METALS

TRANSACTION COSTS

FOR TRADING SECURITIES

FOR TRADING OF DERIVATIVES

INCREASE FROM UPDATING LOSS FROM TRADING (1)

INTEREST INCOME

INTEREST ON AVAILABILITIES

BANKS

RESTRICTED AVAILABILITIES OR GIVEN AS COLLATERAL

INTEREST AND YIELDS IN FAVOR ARISING FROM MARGIN ACCOUNTS

CASH

SECURITIES

OTHER ASSETS

INTEREST AND YIELDS IN FAVOR ARISING FROM INVESTMENTS IN SECURITIES

FOR TRADING SECURITIES

FOR AVAILABLE FOR SALE SECURITIES

FOR HELD-TO-MATURITY SECURITIES

INTEREST AND YIELDS IN FAVOR IN REPO OPERATIONS

INCOME ARISING FROM HEDGING OPERATIONS

PREMIUMS IN FAVOR IN SECURITIES LENDING OPERATIONS

PREMIUMS FROM DEBT PLACEMENT

MARKETABLE SECURITIES

SUBORDINATED BONDS

DIVIDENDS ON EQUITY INSTRUMENTS

GAIN FROM VALUATION

GAIN FROM VALUATION CHANGES

VALUATION OF INDEXED INSTRUMENTS

VALUATION OF ITEMS IN UDIS

INCREASE FROM UPDATING INTEREST INCOME (1)

INTEREST EXPENSES

INTEREST ON MARKETABLE SECURITIES

INTEREST ON BANK LOANS AND FROM OTHER ORGANISMS

INTEREST ON SUBORDINATED BONDS

OF FORCED CONVERSION

OF CONVERSION BY HOLDER'S DECISION

OF CONVERSION BY ISSUER ENTITY'S DECISION

NON-CONVERTIBLE

INTEREST AND YIELDS IN FAVOR IN REPO OPERATIONS

EXPENSES ARISING FROM HEDGING OPERATIONS

PREMIUMS IN FAVOR IN SECURITIES LENDING OPERATIONS

DISCOUNTS FROM DEBT PLACEMENT

MARKETABLE SECURITIES

SUBORDINATED BONDS

ISSUANCE EXPENSES FROM DEBT PLACEMENT

LOSS FROM VALUATION

LOSS FROM VALUATION CHANGES

VALUATION OF INDEXED INSTRUMENTS

VALUATION OF ITEMS IN UDIS

INCREASE FROM UPDATING INTEREST EXPENSES (1)

RESULT FROM VALUATION AT FAIR VALUE

RESULT FROM VALUATION AT FAIR VALUE

TRADING SECURITIES

DERIVATIVES FOR TRADING PURPOSES

DERIVATIVES FOR HEDGING PURPOSES

OF AVAILABLE FOR SALE SECURITIES IN FAIR VALUE HEDGES

SOLD COLLATERAL

LOSS FROM IMPAIRMENT OR EFFECT FROM REVERSAL OF IMPAIRMENT OF SECURITIES AND DERIVATIVES

AVAILABLE FOR SALE SECURITIES

HELD-TO-MATURITY SECURITIES

DERIVATIVES

RESULT FROM VALUATION OF CURRENCIES

RESULT FROM VALUATION OF PRECIOUS METALS

COINED

INCREASE FROM UPDATING RESULT FROM VALUATION AT FAIR VALUE (1)

RESULT FROM NET MONETARY POSITION (FINANCIAL MARGIN FROM INTERMEDIATION)

RESULT FROM MONETARY POSITION ARISING FROM POSITIONS THAT GENERATE FINANCIAL MARGIN (DEBIT BALANCE)

RESULT FROM MONETARY POSITION ARISING FROM POSITIONS THAT GENERATE FINANCIAL MARGIN (CREDIT BALANCE)

INCREASE FROM UPDATING RESULT FROM NET MONETARY POSITION (FINANCIAL MARGIN) (1)

FINANCIAL MARGIN FROM INTERMEDIATION

OTHER INCOMES (EXPENSES) FROM OPERATION

RECOVERIES

TAXES

EXCESS IN BENEFITS TO RECEIVE IN SECURITIZATION OPERATIONS

OTHER RECOVERIES

FINANCIAL COST FOR CAPITALIZABLE LEASE

CHARGES TO THE ESTIMATE FOR UNRECOVERABILITY OR DIFFICULT COLLECTION

LOSSES

FRAUDS

CLAIMS

OTHER LOSSES

DIVIDENDS ON PERMANENT INVESTMENTS

DIVIDENDS ON OTHER PERMANENT INVESTMENTS

DIVIDENDS ON PERMANENT INVESTMENTS IN ASSOCIATES

AVAILABLE FOR SALE

DONATIONS

LOSS IN CUSTODY AND ADMINISTRATION OF ASSETS

LOSS IN TRUST OPERATIONS

LOSS FROM IMPAIRMENT OR EFFECT FROM REVERSAL OF IMPAIRMENT

OF REAL ESTATE

OF COMMERCIAL CREDIT

OF OTHER PERMANENT INVESTMENTS VALUED AT COST

OF OTHER LONG-TERM ASSETS

OF OTHER ASSETS

INTEREST IN FAVOR IN FINANCING FOR ACQUISITION OF ASSETS

GAIN FROM SALE OF REAL ESTATE, FURNITURE AND EQUIPMENT

CANCELLATION OF THE ESTIMATE FOR UNRECOVERABILITY OR DIFFICULT COLLECTION

CANCELLATION OF OTHER LIABILITY ACCOUNTS

INTEREST IN FAVOR ARISING FROM LOANS TO OFFICIALS AND EMPLOYEES

INCOME FROM LEASING

GAIN FROM VALUATION OF BENEFITS TO RECEIVE IN SECURITIZATION OPERATIONS

GAIN FROM VALUATION OF ASSET FOR ADMINISTRATION OF TRANSFERRED ASSETS

GAIN FROM VALUATION OF LIABILITY FOR ADMINISTRATION OF TRANSFERRED ASSETS

LOSS FROM SALE OF REAL ESTATE, FURNITURE AND EQUIPMENT

LOSS FROM VALUATION OF BENEFITS TO RECEIVE IN SECURITIZATION OPERATIONS

LOSS FROM VALUATION OF ASSET FOR ADMINISTRATION OF TRANSFERRED FINANCIAL ASSETS

LOSS FROM VALUATION OF LIABILITY FOR ADMINISTRATION OF TRANSFERRED FINANCIAL ASSETS

LOSS IN BENEFITS TO RECEIVE IN SECURITIZATION OPERATIONS

OTHER ITEMS FROM INCOMES (EXPENSES) FROM OPERATION

RESULT FROM MONETARY POSITION ORIGINATED BY ITEMS NOT RELATED TO THE FINANCIAL MARGIN (1)

RESULT FROM VALUATION OF ITEMS NOT RELATED to the FINANCIAL MARGIN

INCREASE FROM UPDATING OTHER INCOMES (EXPENSES) FROM OPERATION (1)

ADMINISTRATION AND PROMOTION EXPENSES

SHORT-TERM DIRECT BENEFITS

NET COST OF THE PERIOD DERIVED FROM BENEFITS TO EMPLOYEES

LONG-TERM DIRECT BENEFITS

POST-EMPLOYMENT BENEFITS

Pensions

Seniority premium

Other post-employment benefits

TERMINATION BENEFITS

Termination benefits for reasons other than restructuring

Termination benefits due to restructuring

EMPLOYEES' PARTICIPATION IN PROFITS

EMPLOYEES' PARTICIPATION IN PROFITS

INCURRED

EMPLOYEES' PARTICIPATION IN PROFITS

DEFERRED

ESTIMATE FOR NON-RECOVERABLE DEFERRED PTU

FEES

RENTS

PROMOTION AND ADVERTISING EXPENSES

FEES TO THE AMIB

VARIOUS TAXES AND DUTIES

NON-DEDUCTIBLE EXPENSES

TECHNOLOGY EXPENSES

DEPRECIATIONS

AMORTIZATIONS

TELEPHONES AND COMMUNICATION EXPENSES

FEES FOR INSPECTION AND SUPERVISION CNBV

CONSERVATION AND MAINTENANCE EXPENSES

OTHER ADMINISTRATION AND PROMOTION EXPENSES

INCREASE FROM UPDATING ADMINISTRATION AND PROMOTION EXPENSES (1)

OPERATING RESULT

PARTICIPATION IN THE RESULT OF NON-CONSOLIDATED SUBSIDIARIES AND ASSOCIATES

RESULT OF THE PERIOD OF NON-CONSOLIDATED SUBSIDIARIES AND ASSOCIATES

IN NON-CONSOLIDATED SUBSIDIARIES

Belonging to the financial sector

Not belonging to the financial sector

IN ASSOCIATES

Belonging to the financial sector

Not belonging to the financial sector

INCREASE FROM UPDATING PARTICIPATION IN THE RESULT OF NON-CONSOLIDATED SUBSIDIARIES AND ASSOCIATES (1)

RESULT BEFORE INCOME TAXES

INCOME TAXES INCURRED

INCOME TAXES INCURRED

INCREASE FROM UPDATING INCOME TAXES INCURRED (1)

DEFERRED INCOME TAXES

DEFERRED INCOME TAXES

ESTIMATE FOR NON-RECOVERABLE INCOME TAXES

INCREASE FROM UPDATING DEFERRED INCOME TAXES (1)

RESULT BEFORE DISCONTINUED OPERATIONS

DISCONTINUED OPERATIONS

DISCONTINUED OPERATIONS

INCREASE FROM UPDATING DISCONTINUED OPERATIONS (1)

NET RESULT

CONTROLLING INTEREST

NON-CONTROLLING INTEREST

(1) These items will be applicable under an inflationary economic environment based on what is established in Financial Reporting Standard B-10 "Effects of Inflation", issued by the Mexican Council of Financial Reporting Standards, A.C. (CINIF).

SERIES R13 FINANCIAL STATEMENTS

This series is composed of four (4) reports, whose frequency of preparation and presentation must be quarterly for report A-1311 Statement of Changes in Shareholders' Equity of the brokerage house and A-1316 Statement of Cash Flows of the brokerage house, and monthly for report B-1321 Balance Sheet of the brokerage house and B-1322 Statement of Results of the brokerage house.

REPORTS

A-1311

Statement of Changes in Shareholders' Equity of the brokerage house

In this report, the balances of all shareholders' equity concepts of the brokerage house at the beginning of the period are requested, showing the movements occurred during the period being reported, as well as the shareholders' equity balances at the end of the period, where the movements refer to the increases or decreases in shareholders' equity originated by shareholder decisions and the recognition of comprehensive income.

A-1316

Statement of Cash Flows of the brokerage house

In this report, the amounts of changes occurred in the structure of the brokerage house's finances are requested. These changes refer to the differences, classified according to resources generated or used by operations, by financing activities and by investment activities, in the various items of the initial and final balance sheet of the period being reported. It must also reflect the increase or decrease in cash and equivalents during the period.

B-1321

Balance Sheet of the brokerage house

In this report, the total balances at the end of the period of the different concepts that make up the brokerage house's balance sheet are requested. The balances are found classified into assets, liabilities, shareholders' equity, and off-balance-sheet accounts.

B-1322

Statement of Results of the brokerage house

In this report, relevant information about the operations carried out by the brokerage house during the period being reported is requested.

The information is classified into income, costs, and expenses, as well as the resulting profit or loss in the period.

CAPTURE FORMAT

Brokerage houses will carry out the submission of information related to reports A-1311 Statement of Changes in Shareholders' Equity of the brokerage house and A-1316 Statement of Cash Flows of the brokerage house, described above, by using the following capture format:

REQUESTED INFORMATION

REPORT IDENTIFIER

PERIOD

INSTITUTION KEY

FINANCIAL INFORMATION SECTION

CONCEPT

REPORT

BALANCE TYPE

DATA

Brokerage houses will carry out the submission of information related to reports B-1321 Balance Sheet of the brokerage house and B-1322 Statement of Results of the brokerage house, described above, by using the following capture format:

REQUESTED INFORMATION

REPORT IDENTIFIER

PERIOD

INSTITUTION KEY

FINANCIAL INFORMATION SECTION

CONCEPT

REPORT

DATA

Brokerage houses will report the information indicated in this series adjusting to the characteristics and specifications for filling out and submitting information presented in the Interinstitutional Information Transfer System (SITI) or in that which the National Banking and Securities Commission (CNBV) makes known in its case.

Brokerage Houses

Series R13 Financial Statements

Report A-1311 Statement of Changes in Shareholders' Equity of the brokerage house

Includes figures in national currency, foreign currency, and UDIS valued in pesos

Figures in pesos

Concept

Controlling
Interest

Contributed
Capital

Earned
Capital

Non-controlling
Interest

Total

Shareholders'
Equity

Share Capital

Contributions for future capital increases formalized in shareholder meeting

Premium on sale of shares

Subordinated bonds in circulation

Capital
Reserves

Result of previous periods

Result from valuation of securities available for sale

Result from valuation of cash flow hedge instruments

Accumulated effect from conversion

Remedies for defined benefits to employees

Result from holding non-monetary assets

Net
Result

Balance at ____ of ____ of

---

Movements inherent to shareholder decisions

Subscription of shares

Capitalization of profits

Constitution of reserves

Transfer of net result to previous periods

Payment of dividends

Other

Total of movements inherent to shareholder decisions

Movements inherent to the recognition of comprehensive income

Net Result

Result from valuation of securities available for sale

Result from valuation of cash flow hedge instruments

Accumulated effect from conversion

Remedies for defined benefits to employees

Result from holding of non-monetary assets

Other

Total of movements inherent to the recognition of comprehensive income

Balance at ____ of ____ of

---

Note: In accordance with what accounting criteria establish, the concepts appearing in this statement are shown in an enumerative but not exhaustive manner. The opening of a greater number of concepts in order to provide a more detailed presentation of the information must be requested from the Deputy General Director of Design and Information Reception of the National Banking and Securities Commission.

Brokerage Houses

Series R13 Financial Statements

Report A-1316 Statement of Cash Flows of the brokerage house

Includes figures in national currency, foreign currency, and UDIS valued in pesos

Figures in pesos

Concept

Amount

Net Result

Adjustments for items that do not imply cash flow:

Losses from impairment or effect from reversal of impairment associated with investment activities

Depreciations of real estate, furniture and equipment

Amortizations of intangible assets

Provisions

Income taxes incurred and deferred

Participation in the result of non-consolidated subsidiaries and associates

Discontinued operations

Other

Operating Activities

Change in margin accounts

Change in investments in securities

Change in debtors from repos

Change in securities lending (asset)

Change in derivatives (asset)

Change in benefits to receive in securitization operations

Change in other operating assets (net)

Changes in marketable securities liabilities

Change in bank loans and from other organisms

Change in creditors from repos

Change in securities lending (liability)

Change in sold or pledged collateral

Change in derivatives (liability)

Change in obligations in securitization operations

Change in subordinated obligations with liability characteristics

Change in other operating liabilities

Change in hedge instruments (of covered items related to operating activities)

Collections of income taxes (refunds)

Payments of income taxes

Other

Net cash flows from operating activities

Investment Activities

Collections from disposal of real estate, furniture and equipment

Payments for acquisition of real estate, furniture and equipment

Collections from disposal of subsidiaries and associates

Payments for acquisition of subsidiaries and associates

Collections from disposal of other permanent investments

Payments for acquisition of other permanent investments

Collections of dividends in cash

Payments for acquisition of intangible assets

Collections from disposal of long-term assets available for sale

Collections from disposal of other long-term assets

Payments for acquisition of other long-term assets

Collections associated with hedge instruments (of covered items related to investment activities)

Payments associated with hedge instruments (of covered items related to investment activities)

Other

Net cash flows from investment activities

Financing Activities

Collections from issuance of shares

Payments for capital social repayments

Payments of dividends in cash

Payments associated with repurchase of own shares

Collections from issuance of subordinated obligations with capital characteristics

Payments associated with subordinated obligations with capital characteristics

Other

Net cash flows from financing activities

Net increase or decrease in cash and cash equivalents

Effects from changes in the value of cash and cash equivalents

Cash and cash equivalents at the beginning of the period

Cash and cash equivalents at the end of the period

Note: In accordance with what accounting criteria establish, the concepts appearing in this statement are shown in an enumerative but not exhaustive manner. The opening of a greater number of concepts in order to provide a more detailed presentation of the information must be requested from the Deputy General Director of Design and Information Reception of the National Banking and Securities Commission.

Brokerage Houses

Series R13 Financial Statements

Report B-1321 Balance Sheet of the brokerage house

Includes figures in national currency, foreign currency, and UDIS valued in pesos

Figures in pesos

Concept

Amount

OFF-BALANCE-SHEET ACCOUNTS

CUSTOMERS CURRENT ACCOUNTS

CUSTOMER BANKS

DIVIDENDS COLLECTED FROM CUSTOMERS

INTERESTS COLLECTED FROM CUSTOMERS

SETTLEMENT OF CUSTOMER OPERATIONS

PREMIUMS COLLECTED FROM CUSTOMERS

CUSTOMER SETTLEMENTS WITH CURRENCIES

MARGIN ACCOUNTS

OTHER CURRENT ACCOUNTS

CUSTODY OPERATIONS

CUSTOMER SECURITIES RECEIVED IN CUSTODY

CUSTOMER SECURITIES ABROAD

ADMINISTRATION OPERATIONS

REPO OPERATIONS FOR CUSTOMER ACCOUNT

SECURITIES LENDING OPERATIONS FOR CUSTOMER ACCOUNT

COLLATERALS RECEIVED AS COLLATERAL FOR CUSTOMER ACCOUNT

COLLATERALS DELIVERED AS COLLATERAL FOR CUSTOMER ACCOUNT

DERIVATIVES PURCHASE OPERATIONS

OF CUSTOMERS' FUTURES AND FORWARD CONTRACTS (NOTIONAL AMOUNT)

OF OPTIONS

OF SWAPS

OF CUSTOMERS' DERIVATIVE INSTRUMENT PACKAGES

DERIVATIVES SALE OPERATIONS

OF CUSTOMERS' FUTURES AND FORWARD CONTRACTS (NOTIONAL AMOUNT)

OF OPTIONS

OF SWAPS

OF CUSTOMERS' DERIVATIVE INSTRUMENT PACKAGES

ADMINISTERED TRUSTS

OPERATIONS FOR OWN ACCOUNT

CONTINGENT ASSETS AND LIABILITIES

COLLATERALS RECEIVED BY THE ENTITY

CASH ADMINISTERED IN TRUST

GOVERNMENT DEBT

BANK DEBT

OTHER DEBT SECURITIES

EQUITY INSTRUMENTS

OTHERS

COLLATERALS RECEIVED AND SOLD OR DELIVERED AS COLLATERAL BY THE ENTITY

GOVERNMENT DEBT

BANK DEBT

OTHER DEBT SECURITIES

EQUITY INSTRUMENTS

OTHERS

OTHER REGISTRATION ACCOUNTS

ASSETS

AVAILABILITIES

MARGIN ACCOUNTS (DERIVATIVES)

INVESTMENTS IN SECURITIES

TRADING SECURITIES

AVAILABLE FOR SALE SECURITIES

HELD-TO-MATURITY SECURITIES

DEBTORS FROM REPOS (DEBIT BALANCE)

SECURITIES LENDING

DERIVATIVES

FOR TRADING PURPOSES

FOR HEDGING PURPOSES

VALUATION ADJUSTMENTS FOR HEDGING OF FINANCIAL ASSETS

BENEFITS TO RECEIVE IN SECURITIZATION OPERATIONS

ACCOUNTS RECEIVABLE

REAL ESTATE, FURNITURE AND EQUIPMENT

PERMANENT INVESTMENTS

LONG-TERM ASSETS AVAILABLE FOR SALE

DEFERRED TAXES AND PTU (NET)

OTHER ASSETS

DEFERRED CHARGES, PREPAID EXPENSES AND INTANGIBLES

OTHER SHORT- AND LONG-TERM ASSETS

LIABILITIES

MARKETABLE SECURITIES LIABILITIES

BANK LOANS AND FROM OTHER ORGANISMS

SHORT-TERM

LONG-TERM

SECURITIES ASSIGNED FOR SETTLEMENT

CREDITORS FROM REPOS

SECURITIES LENDING

COLLATERALS SOLD OR GIVEN AS COLLATERAL

REPOS (CREDIT BALANCE)

SECURITIES LENDING

DERIVATIVES

OTHER SOLD COLLATERALS

DERIVATIVES

FOR TRADING PURPOSES

FOR HEDGING PURPOSES

VALUATION ADJUSTMENTS FOR HEDGING OF FINANCIAL LIABILITIES

OBLIGATIONS IN SECURITIZATION OPERATIONS

OTHER ACCOUNTS PAYABLE

INCOME TAXES PAYABLE

EMPLOYEES' PARTICIPATION IN PROFITS PAYABLE

CONTRIBUTIONS FOR FUTURE CAPITAL INCREASES PENDING TO BE FORMALIZED IN SHAREHOLDER MEETING

CREDITORS FOR OPERATION SETTLEMENT

CREDITORS FOR MARGIN ACCOUNTS

CREDITORS FOR CASH COLLATERALS RECEIVED

VARIOUS CREDITORS AND OTHER ACCOUNTS PAYABLE

SUBORDINATED BONDS IN CIRCULATION

DEFERRED TAXES AND PTU (NET)

DEFERRED CREDITS AND ADVANCED CHARGES

SHAREHOLDERS' EQUITY

CONTROLLING INTEREST

CONTRIBUTED CAPITAL

SHARE CAPITAL

CONTRIBUTIONS FOR FUTURE CAPITAL INCREASES FORMALIZED IN SHAREHOLDER MEETING

PREMIUM ON SALE OF SHARES

SUBORDINATED BONDS IN CIRCULATION

EARNED CAPITAL

CAPITAL RESERVES

RESULT OF PREVIOUS PERIODS

RESULT FROM VALUATION OF AVAILABLE FOR SALE SECURITIES

RESULT FROM VALUATION OF CASH FLOW HEDGING INSTRUMENTS

ACCUMULATED EFFECT FROM CONVERSION

ADJUSTMENTS FOR DEFINED BENEFITS EMPLOYEE BENEFITS

RESULT FROM HOLDING NON-MONETARY ASSETS

NET INCOME

NON-CONTROLLING INTEREST

Net income attributable to non-controlling interest

Other non-controlling interest

(1) These concepts will be applicable under an inflationary economic environment based on what is established in Financial Information Standard B-10 "Effects of Inflation", issued by the Mexican Council for Financial Reporting Standards, A.C. (CINIF).

Brokerage Houses

Series R13 Financial Statements

Report B-1322 Income Statement of the Brokerage House

Includes figures in national currency, foreign currency, and indexed UDIs in pesos

Figures in pesos

Concept

Amount

COMMISSIONS AND FEES CHARGED

COMMISSIONS AND FEES PAID

FINANCIAL ADVISORY INCOME

RESULT FROM SERVICES

GAIN FROM PURCHASE AND SALE

LOSS FROM PURCHASE AND SALE

INTEREST INCOME

INTEREST EXPENSE

RESULT FROM FAIR VALUE VALUATION

NET MONETARY POSITION RESULT (FINANCIAL MARGIN FROM INTERMEDIATION)

FINANCIAL MARGIN FROM INTERMEDIATION

OTHER OPERATING INCOME (EXPENSES)

ADMINISTRATION AND PROMOTION EXPENSES

OPERATING RESULT

SHARE IN RESULT OF UNCONSOLIDATED SUBSIDIARIES AND ASSOCIATES

RESULT BEFORE INCOME TAX

INCOME TAX INCURRED

DEFERRED INCOME TAX (NET)

RESULT BEFORE DISCONTINUED OPERATIONS

DISCONTINUED OPERATIONS

NET INCOME

CONTROLLING INTEREST

NON-CONTROLLING INTEREST

(1) These concepts will be applicable under an inflationary economic environment based on what is established in Financial Information Standard B-10 "Effects of Inflation", issued by the Mexican Council for Financial Reporting Standards, A.C. (CINIF).

SERIES R14 QUALITATIVE INFORMATION

This series is integrated by two (2) reports, whose frequency of preparation and submission must be monthly.

REPORTS

A-1413

Number of accounts

This report requests the number of accounts classified by account types and investment ranges.

A-1414

Number of employees

This report requests the opening balance, additions, deletions, and closing balance of the number of officials and employees of the Brokerage House during the month; these figures are classified by administrative area and operational area.

Additionally, the number of officials and employees receiving bonuses and incentives, and the number of people receiving salaries and fees during the month, classified by administrative and operational area, are requested.

CAPTURE FORMAT

Brokerage houses will carry out the submission of information related to report R14 Qualitative Information through the following format:

REQUESTED INFORMATION

SECTION REPORT IDENTIFIER

PERIOD

ENTITY KEY

CONCEPT

REPORT

SECTION IDENTIFIER

STATISTICAL INFORMATION

BALANCE TYPE

DATA

SERIES R18 ACCOUNTS PAYABLE

This series is integrated by two (2) reports, whose frequency of preparation and submission must be monthly.

REPORT

A-1811

Other accounts payable

This report requests closing balances for the month, including national currency, UDIs indexed in pesos, and foreign currency indexed in pesos, of the concepts that make up the "other accounts payable" item in the Minimum Catalog regulatory report; the mentioned balances are requested identified by age of balances.

B-1821

Disaggregation of various creditors and other accounts payable

In this report, operation by operation, the opening balance, debtor movements, creditor movements, and closing balance that the Brokerage House has registered in the concept of "Various Other Creditors" in the Minimum Catalog regulatory report must be reported. One line will be reported for each operation that the Brokerage House has registered in the concept of "Various Other Creditors".

The data referring to balances and amounts must be presented in national currency, UDIs indexed in pesos, and foreign currency indexed in pesos, using the exchange rate indicated in the accounting criteria. Such balances and amounts must be presented in pesos rounded, without decimals, without commas, without periods, and with positive figures. For example: 20,585.70 would be 20586.

CAPTURE FORMAT

Brokerage houses will carry out the submission of information related to report A-1811 Other accounts payable, described above, by using the following capture format:

REQUESTED INFORMATION

SECTION REPORT IDENTIFIER

PERIOD

ENTITY KEY

CONCEPT

REPORT

SECTION IDENTIFIER OF THE ACCOUNT PAYABLE

BALANCE TYPE

DATA

Brokerage houses will carry out the submission of information related to report B-1821 Disaggregation of various creditors and other accounts payable, described above, by using the following capture format:

REQUESTED INFORMATION

SECTION REPORT IDENTIFIER

PERIOD

ENTITY KEY

REPORT

SECTION IDENTIFIER OF THE CREDITOR

SEQUENCE NUMBER

MOVEMENT DATE

ACCOUNTING CLASSIFICATION

PERSON

CREDITOR KEY

AGE OF BALANCES

OPENING BALANCE

DEBIT MOVEMENT

CREDIT MOVEMENT

CLOSING BALANCE

Brokerage houses will report the information indicated in this series, adhering to the characteristics and specifications for filling out and submitting information presented in the Interinstitutional Information Transfer System (SITI) or in that which the National Banking and Securities Commission (CNBV) makes known, as applicable.

---

1

This information must be presented no later than the third business day following that on which the notification of the request made for this purpose takes effect.

In the document you are viewing, there may be text, characters, or objects that do not display correctly due to conversion to HTML format; therefore, we recommend always taking the digitized image of the DOF or the PDF file of the edition as reference. The content, form, and scope of published documents are the strict responsibility of their issuer.

INQUIRY

BY DATE

Su Mo Tu We Th Fr Sa

INDICATORS

Exchange Rate and Rates as of 08/31/2026

DOLLAR

17.0427 UDIs

8.810483% TIIE 28 DAYS

6.7659% TIIE 91 DAYS

6.8033% TIIE 182 DAYS

6.8577% TIIE FOR FUNDING

6.51%

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SURVEYS

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