Resolution modifying the General Provisions applicable to credit institutions

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DOF: 28/09/2016

RESOLUTION modifying the General Provisions applicable to credit institutions

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, with the agreement of its Board of Directors, based on the provisions of articles 10, fraction II, and 17 of the Credit Institutions Law, as well as 4, fractions XXXVI and XXXVIII, and 16, fraction I of the National Banking and Securities Commission Law, and

CONSIDERING

That in order to avoid duplication and as an administrative convenience, in the case where one or more persons intend to participate indirectly in the share capital of a multiple banking institution that belongs to a financial group due to the acquisition of shares of the share capital of the controlling society, it is deemed convenient that for the purposes of the corresponding procedure before the National Banking and Securities Commission, the information considered relevant to the potential shareholders be that which is presented to the Ministry of Finance and Public Credit and regarding which an opinion is requested from the Commission itself, since it is the same information, and

That additionally, in consistency with what is provided by the Credit Institutions Law, it is necessary to clarify that regarding the indirect participation carried out by natural persons through legal entities in the share capital of multiple banking institutions, the National Banking and Securities Commission may require the necessary information from all shareholders of said legal entities, has resolved to issue the following:

RESOLUTION MODIFYING THE GENERAL PROVISIONS APPLICABLE TO CREDIT INSTITUTIONS

SOLE.- Article 336, third and fifth paragraphs; Article 337 is REFORMED by adding a final paragraph; and Annex 53 of the "General Provisions applicable to credit institutions", published in the Official Gazette of the Federation on December 2, 2005, modified by Resolutions published in the said Official Gazette on March 3 and 28, September 15, December 6 and 8, 2006, January 12, March 23, April 26, November 5, 2007, March 10, August 22, September 19, October 14, December 4, 2008, April 27, May 28, June 11, August 12, October 16, November 9, December 1 and 24, 2009, January 27, February 10, April 9 and 15, May 17, June 28, July 29, August 19, September 9 and 28, October 25, November 26, December 20, 2010, January 24 and 27, March 4, April 21, July 5, August 3 and 12, September 30, October 5 and 27, December 28, 2011, June 19, July 5, October 23, November 28, December 13, 2012, January 31, April 16, May 3, June 3 and 24, July 12, October 2, December 24, 2013, January 7 and 31, March 26, May 12 and 19, July 3 and 31, September 24, October 30, December 8 and 31, 2014, January 9, February 5, April 30, May 27, June 23, August 27, September 21, October 29, November 9 and 13, December 16 and 31, 2015, April 7 and 28, June 22, July 7 and 29, and August 1, 2016, as well as that issued on September 9, 2016, to read as follows:

" TITLES FIRST to FIFTH . . .

.

Annexes 1 to 52

.

Annex 53

Information format for persons who intend to participate in the share capital of a multiple banking institution, persons who intend to become secured creditors with respect to the paid-up share capital of a multiple banking institution, and persons who intend to obtain control of a multiple banking institution.

Annexes 54 to 70

.

"

" Article 336 .- . . .

I.

.

II.

.

In the event that there are schemes of indirect participation in the share capital of the multiple banking institution, the Commission will evaluate, in terms of the Law, the suitability of any person or investment vehicle such as trusts, mandates, commissions, or other similar figures, that participate directly or indirectly in the share capital of the multiple banking institution up to the ultimate beneficiaries, for which all of them must present the information referred to in fraction II of this article, considering the provisions of the previous paragraph.

.

The provisions of fraction II of this article shall not apply when the potential shareholders of the multiple banking institution have the status of financial entities supervised by the Commission or by any of the other National Supervisory Commissions, or these are shareholders of said entities and their participation has been authorized in a period not greater than five years prior to their request, in which case they must present a sworn statement to the effect that their financial situation has not changed with respect to that previously sent to the aforementioned Commissions, in such a way as to prevent them from carrying out the acquisition in question. Additionally, the provisions of the previous fraction II shall not apply to foreign financial entities that intend to establish a Subsidiary. This is without prejudice to the powers that the Commission has to corroborate the truthfulness of the information provided.

.

Article 337.- . . .

Persons who intend to indirectly acquire shares representing the share capital of a multiple banking institution due to the acquisition of shares of a controlling society of a financial group, shall be exempt from presenting to the Commission the information referred to in fraction II of the previous article, provided that said persons have submitted the information referred to in article 28 of the Law to Regulate Financial Groups to the Ministry of Finance and Public Credit, in the respective authorization procedure before said agency. For the purposes of the corresponding evaluation, the Commission will take into account the information sent to it by the Ministry of Finance and Public Credit in accordance with said legal provision and the other applicable provisions. This is without prejudice to the powers that the Commission has to corroborate the truthfulness of the information provided, as well as to require in any case the presentation of the information and documentation referred to in fraction II of the previous article. "

TRANSITORY

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

Respectfully

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

ANNEX 53

INFORMATION FORMAT FOR PERSONS WHO INTEND TO PARTICIPATE IN THE SHARE CAPITAL OF A MULTIPLE BANKING INSTITUTION, PERSONS WHO INTEND TO BECOME SECURED CREDITORS WITH RESPECT TO THE PAID-UP SHARE CAPITAL OF A MULTIPLE BANKING INSTITUTION, AND PERSONS WHO INTEND TO OBTAIN CONTROL OF A MULTIPLE BANKING INSTITUTION

Name of the multiple banking institution.

Date of preparation. (dd/mm/yyyy)

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

Filling Instructions.

This format must be filled out by:

a)

Persons who, within the authorization request procedure to organize and operate multiple banking institutions in terms of what is stated in Article 8 of the Law, intend to subscribe two percent or more of the share capital of the institution itself.

b)

Persons who intend to obtain authorization to acquire directly or indirectly more than five percent of series "O" shares representing the paid-up capital of a multiple banking institution.

c)

Persons who intend to obtain authorization to become secured creditors with respect to more than five percent of series "O" shares representing the paid-up capital of a multiple banking institution.

d)

Persons or group of persons who intend to obtain control of a multiple banking institution, in terms of what is provided by Article 22 Bis, fraction II, of the Law.

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

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

SECTION 1.

PERSONAL IDENTIFICATION DATA.

NATURAL PERSONS.

First name(s).

Paternal surname.

Maternal surname.

Nationality.

Tax ID (RFC)

Unique Population Registry Code (CURP)

Address for hearing and receiving notifications.

Street and exterior and/or interior number.

Neighborhood.

Delegation or Municipality.

Federal Entity.

Postal code.

Country.

Marital status.

Name of spouse or concubine.

Name of relatives in ascending and descending straight line up to the

first degree.

IDENTIFICATION DATA.

LEGAL ENTITIES.

Trade name or corporate name.

Main activity.

Nationality.

Tax ID (RFC).

Date of incorporation.

Legal representative.

Profession.

Work experience.

Address for hearing and receiving notifications.

Street and exterior and/or interior number.

Neighborhood.

Postal code.

Delegation or Municipality.

Federal Entity.

Country.

Name of shareholders who participate with 10% or

more of the share capital of the legal entity. 1

Shareholder

(%)

1 / Regarding legal entities, trusts, or other investment vehicles, the direct and indirect participations of natural persons in their capital must be listed and broken down up to the identification of the natural persons who are the ultimate beneficiaries of said participations.

Can you invest in companies according to your statutes?

Yes

No

Has the investment in question been approved by your board of

directors?

Yes

No

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

Yes

No

Specify:

___ % equity.

Name: __________________________

SECTION 2.

Participation of the person in the multiple banking institution.

Shareholder (if applicable).

___ % shareholding.

Position (if applicable).

President of the board of directors.

Proprietary Councilor.

Independent:

Yes

No

Alternate Councilor.

Independent:

Yes

No

Secretary of the board of directors.

General Manager.

Legal Director.

Finance Director.

Commercial Director.

Other(s).

Specify: ___________________________

SECTION 3.

FINANCIAL RELATIONSHIP.

a) Assets and rights.

AMOUNT

(thousands of pesos)

1.- REAL ESTATE.

Total:

2.- SECURITIES AND OTHER MOVABLE PROPERTY.

Total:

3.- BANK BALANCES.

Total:

4.- OTHERS.

Total:

5.- TOTAL ASSETS AND RIGHTS (gross equity).

b) Debts and obligations.

6.- MORTGAGES AND CREDITS FROM FINANCIAL ENTITIES.

Total:

7.- OTHERS.

Total:

8.- TOTAL DEBTS AND OBLIGATIONS.

9.- EQUITY (Subtract 8 from 5).

10.- GUARANTEES AND BONDS GRANTED.

11.- INSURANCE POLICIES.

12.- TOTAL INCOME.

Amount

(thousands of pesos)

Main source(s) of income

Last year 20_ _.

Penultimate year 20_ _.

Antepenultimate year 20_ _.

13.- SOURCE OF RESOURCES 2 .

SOURCE

ENTITY OR

PERSON

AMOUNT

(thousands of pesos)

(%)

Own resources.

N/A

Others. Specify:________

TOTAL RESOURCES:

100 %

14.- COMMENTS AND CLARIFICATIONS.

2 / Regarding those persons who become secured creditors on series "O" shares, representing more than five percent of the paid-up capital of a multiple banking institution, the source of the resources subject to the guaranteed obligation must be indicated.

SECTION 4.

ADDITIONAL INFORMATION.

If you consider that there is any other relevant information not contemplated in the previous sections, you must list the information and comment in the following box.

Section.

Information.

SECTION 5.

DECLARATIONS AND SIGNATURES.

By this document, the undersigned authorizes the National Banking and Securities Commission, regarding the information provided here, to:

a)

Verify it as deemed appropriate, as well as to obtain from any other authority deemed convenient information about me, in connection with the authorization request submitted to said Commission.

b)

Share it on a confidential basis with the National Insurance and Bonds Commission, the National Retirement Savings System Commission, the Bank of Mexico, the Tax Administration Service, the Attorney General's Office, and other authorities, for the exclusive fulfillment of their functions.

I confirm that I have read and filled out this format with care, such that I understand its content and legal implications.

I understand that providing false data will be grounds for the exclusion of the undersigned, without prejudice to the criminal penalties or legal sanctions that may apply according to the case.

I DECLARE UNDER OATH THAT THE DATA CONTAINED

IN THIS DECLARATION ARE TRUE.

Signature of the person or legal representative

NAME.

DATE.

SECTION 6.

DOCUMENTS THAT MUST ACCOMPANY THIS APPLICATION.

NATURAL PERSONS:

Copy of valid official identification (voter ID or valid passport and in the case of foreign nationals, migratory form or passport).

If applicable, copy of the tax identification card.

Copy of the CURP.

Credit Information Report, with the status of special credit report in terms of the Law to Regulate Credit Information Societies, with an issuance date not greater than three months prior to the date of the request.

Copy of the professional card or certificate of studies or of the document that accredits the highest degree of studies achieved.

Financial situation of the last three years.

Copy of annual tax returns for the last three fiscal years.

LEGAL ENTITIES:

Certified copy of current bylaws.

Copy of the tax identification card.

Certified copy by the sole administrator or by the secretary of the board of directors of the audited annual financial statements and the external auditor's report, if obliged to do so, approved by their administrative body for the last three fiscal years, or those corresponding according to the date of their incorporation.

If applicable, certified copy by the secretary of the board of directors of the resolution of the administrative body that approves the subscription and payment of the shares of the multiple banking institution to be constituted or in which it is intended to participate.

Credit Information Report, with the status of special credit report in terms of the Law to Regulate Credit Information Societies, with an issuance date not greater than three months prior to the date of the request.

Copy of annual tax returns for the last three fiscal years.

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