Resolution modifying the General Provisions applicable to Brokerage Houses

DOF: 10/04/2018

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 171, first paragraph, and 173 Bis of the Securities Market Law, as well as Articles 4, fractions XXXVI and XXXVIII, and 16, fraction I of the National Banking and Securities Commission Law, and

CONSIDERING

That it is convenient to make modifications in the delivery periods for information for the performance of stress exercises under supervisory scenarios by brokerage houses and the presentation of the results of said stress exercises, aimed at promoting the sequential and orderly delivery of information, and

That in order for brokerage houses to be able to perform tests of their technological infrastructure aimed at guaranteeing its integrity and its connection with that belonging to the stock exchanges, the deadline to certify before the National Banking and Securities Commission that they are in a position to negotiate, directly or indirectly, operations with securities traded on said exchanges, as well as to carry out the celebration of contracts to that effect with said stock exchanges, has resolved to issue the following:

RESOLUTION MODIFYING THE GENERAL PROVISIONS APPLICABLE TO BROKERAGE HOUSES

FIRST.- Articles 53; 215, and 216, first paragraph, of the "General Provisions applicable to Brokerage Houses", published in the Official Gazette of the Federation on September 6, 2004, and modified through Resolutions published in said dissemination medium 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 and December 19, 2014; January 6, 8 and 9, March 13, September 18 and December 31, 2015; May 12, September 28 and December 27, 2016; June 23, July 24, September 5, October 3 and 18, and December 18, 2017, and January 4, 2018, are REFORMED, to read as follows:

" Article 53.- The securities referred to in the previous article may equally be promoted by brokerage houses for listing in the international quotation system referred to in the Law, operating on their own account or on behalf of third parties, observing the "General Provisions applicable to international quotation systems", published in the Official Gazette of the Federation on December 22, 2016 and their respective modifications issued by the Commission and in accordance with what is provided in the internal regulations of the stock exchanges. "

" Article 215.- The Commission, through an official letter, will make known to brokerage houses the supervisory scenarios that they must consider to perform the capital sufficiency evaluation under supervisory scenarios, as well as the terms in which they must present the report referred to in the following Article 216. Additionally, said official letter will include a form specifying the information that the estimates made by brokerage houses as part of the capital sufficiency evaluation under supervisory scenarios must contain, in accordance with the provisions of the cited Article 216.

The Commission will publish annually, during the month of January of each year, the dates and deadlines by which it will send the official letter referred to in the previous paragraph, as well as the date by which brokerage houses will present the report referred to in Article 216 of these provisions.

Article 216.- Brokerage houses must annually present to the Commission, as specified in the publication referred to in the previous Article 215, a report containing the results of the evaluation referred to in this chapter, which must contain at least the following:

I. to III.

. . .

. . . "

SECOND.- The SECOND TRANSITORY ARTICLE, fractions I, second paragraph, and III 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 Resolutions published in the same dissemination medium on September 5 and October 18, 2017, is REFORMED, to read as follows:

" SECOND.- Brokerage houses will have the deadlines specified below, which must be counted from the publication of this instrument in the Official Gazette of the Federation, to comply with the following provisions:

I.

. . .

The Commission must authorize, no later than April 23, 2018, the manuals, policies, and procedures indicated in the previous paragraph, as well as the reception and assignment systems referred to in Article 57 of these provisions.

II.

. . .

III.

No later than July 23, 2018, to comply with what is provided in Articles 2, fraction III; 32; 33; 34; 36; 39; 42; 44; 45; 47; 50; 53; 56; 58; 59; 61; 62; 63; 65; 67; 68; 68 Bis; 69; 69 Bis; 73; 74; 76 Bis 2; 82; 84; 86; 87; 89; 91; 92; 105 to 117 Bis 8; 117 Bis 10 to 117 Bis 17; 125; 132; 157; 160; 169 Bis 11 and 206 Bis 5, which are reformed in the "General Provisions applicable to Brokerage Houses" through this Resolution.

IV.

. . .

V.

. . . "

THIRD.- The SECOND TRANSITORY ARTICLE of the "Resolution modifying the General Provisions applicable to Brokerage Houses", published in the Official Gazette of the Federation on December 18, 2017, is REFORMED, to read as follows:

" SECOND.- Brokerage houses must have celebrated the contracts referred to in Article 2, fraction III, second paragraph, which is added through this instrument, no later than April 23, 2018. "

TRANSITORY PROVISIONS

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

SECOND.- For the purposes of the capital sufficiency evaluation under supervisory scenarios referred to in Articles 215 and 216 of the "General Provisions applicable to Brokerage Houses" for the 2018 fiscal year, brokerage houses will comply with the following:

I.

They must use the supervisory scenarios sent through the official letter referred to in Article 215, in effect prior to the entry into force of this Resolution.

II.

During the month of August 2018, they must deliver the report containing the results of the capital sufficiency evaluation referred to in this transitory article.

Respectfully,

Mexico City, April 2, 2018.- The President of the National Banking and Securities Commission, José Bernardo González Rosas.- Signature.

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