Regulatory Alerts2017-10-03 | DOF 5499616Added
Resolution modifying the General Provisions applicable to brokerage houses
The National Banking and Securities Commission modifies the General Provisions applicable to brokerage houses by adding a requirement for the valid certification of the compliance officer and replacing Annexes A through D. The changes simplify administrative procedures by eliminating the requirement to submit credit reports and criminal record letters twice for shareholders and directors. The updated forms require detailed personal, financial, and resource origin data from individuals and entities seeking to participate in the capital of a brokerage house. These modifications entered into force the day following their publication in the Official Gazette on October 3, 2017.
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