Resolution modifying the General Provisions applicable to general warehouse stores, exchange houses, credit unions, and regulated multiple-object financial companies

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DOF: 28/09/2016

RESOLUTION modifying the General Provisions applicable to general warehouse stores, exchange houses, credit unions, and regulated multiple-object financial companies

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, with the agreement of its Board of Directors, based on the provisions of Articles 87-B Bis and 87-C Bis 1 of the General Law of Organizations and Auxiliary Credit Activities, Articles 17 and 23 of the Credit Unions Law, as well as Articles 4, fractions XXXVI and XXXVIII, and 16, fraction I of the Law of the National Banking and Securities Commission, 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 regulated multiple-object financial company belonging to a financial group, due to the acquisition of shares of the share capital of the controlling company, it is considered convenient to exempt them from presenting before the National Banking and Securities Commission the information considered to be related to the possible shareholders, as this is presented before the Ministry of Finance and Public Credit and regarding which an opinion is requested from the Commission itself, and

That additionally, in consistency with what is provided by the General Law of Organizations and Auxiliary Credit Activities and the Credit Unions Law, it is necessary to specify that regarding the indirect participation carried out by individuals through legal entities in the share capital of regulated multiple-object financial companies or in credit unions, the National Banking and Securities Commission may require the necessary information from all shareholders of said legal entity,

has resolved to issue the following:

RESOLUTION MODIFYING THE GENERAL PROVISIONS APPLICABLE TO GENERAL WAREHOUSE STORES, EXCHANGE HOUSES, CREDIT UNIONS AND REGULATED MULTIPLE-OBJECT FINANCIAL COMPANIES

FIRST.- Articles 74 Bis, second and third paragraphs and 134, fraction II, third paragraph and last paragraph of said article are REFORMED; Articles 72 Bis 5, fraction IV with a second and third paragraphs and 74 Bis, with a last paragraph are ADDED; and Annexes 24 and 26 of the "General Provisions applicable to general warehouse stores, exchange houses, credit unions and regulated multiple-object financial companies" published in the Official Gazette of the Federation on January 19, 2009 and reformed through Resolutions published in the said Gazette on July 1 and 30, 2009, February 18, 2010, February 4, 2010, April 11, 2010, December 22, 2010, February 3, 2011, June 27, 2011, January 31, 2012, December 3, 2012, January 8, 2013, January 12, 2013, May 19, 2013, October 19, 2013, October 28, 2013, January 22, 2014, and May 13, 2014 are SUBSTITUTED, to read as follows:

" TITLE

FIRST to EIGHTH . . .

Annex 1 to 23 . . .

Annex 24

Information format for persons intending to maintain a participation in the share capital of a credit union and persons intending to constitute themselves as secured creditors with respect to the paid-up share capital of a credit union.

Annex 25

. . .

Annex 26

Information format for persons who directly or indirectly acquire more than five percent of the shares representing the share capital of a regulated multiple-object financial company.

Annex 27

. . . "

" Article 72 Bis 5.-

. . .

I. to III.

. . .

IV.

. . .

Regarding persons intending to subscribe an amount less than five percent of the share capital of the company in question, only their full name or, in their case, trade name or corporate name and name of the legal representative, nationality, address, tax identification number, occupation they perform or main economic activity they carry out, as well as the declaration on the origin of the resources they will use to make the investment in the company, shall be provided.

In the event that there are schemes of indirect participation in the share capital of the company, the Commission will evaluate, in terms of the LG-OAAC, 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 company up to the ultimate beneficiaries, for which all of them must present the information referred to in this fraction, considering the provisions of the previous paragraph.

V. to X.

. . . "

" Article 74 Bis .- . . .

I.

. . .

II.

. . .

In the event that there are schemes of indirect participation in the share capital of a Regulated Multiple-Object Financial Company, the Commission may require, in terms of the LG-OAAC, the information referred to in this article regarding 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 Company up to the ultimate beneficiaries, for which all of them must present the information referred to in this article.

The provisions of fraction II of this article will not be applicable when the possible shareholders of the Regulated Multiple-Object Financial Company have the status of financial entities supervised by the Commission or by any 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 varied with respect to that previously sent to the said Commissions in such a way as to prevent them from carrying out the acquisition in question.

. . .

Persons intending to acquire shares representing the share capital of a Regulated Multiple-Object Financial Company due to the acquisition of shares of a controlling company of a financial group, will be exempt from presenting to the Commission the information referred to in this article, provided that said persons have sent 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. This is without prejudice to the fact that the Commission itself may require the presentation of the information and documentation referred to in this article. "

" Article 134.- . . .

I.

. . .

II.

. . .

. . .

Additionally, the provisions of this fraction will not be applicable when the possible shareholders of the company to be constituted have the status of financial entities supervised by the Commission or by any 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 varied with respect to that previously sent to the said Commissions in such a way as to prevent them from carrying out the acquisition in question. This is without prejudice to the powers with which the Commission has to corroborate the truthfulness of the information provided.

In the event that there are schemes of indirect participation in the share capital of the credit union, 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 credit union 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 second paragraph of said fraction . "

TRANSITORY

SOLE.- This Resolution will 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 24

INFORMATION FORMAT FOR PERSONS INTENDING TO MAINTAIN A PARTICIPATION IN THE SHARE CAPITAL OF A CREDIT UNION AND PERSONS INTENDING TO CONSTITUTE THEMSELVES AS SECURED CREDITORS WITH RESPECT TO THE PAID-UP SHARE CAPITAL OF A CREDIT UNION

Name or possible name of the company.

Date of preparation.

This information is part of the authorization request to constitute and operate a credit union or the authorization requests referred to in Article 23 of the Credit Unions Law, as applicable, presented before the National Banking and Securities Commission. Its content is confidential and will be subject to review and verification.

Filling Instructions.

This format must be duly filled out by:

a) Individuals or legal entities that intend to subscribe more than five percent and up to thirty percent of the share capital of a credit union.

b) Each of the members of a Group of persons that collectively intends to acquire more than five percent of the share capital of a credit union or obtain control of said company.

c) Persons intending to receive in guarantee more than five percent of shares representing the share capital of a credit union.

No blank spaces should be left. In any case, mention: None, No, I don't have, Not applicable.

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

SECTION 1

Individuals

• Personal Identification Data

First Name(s)

Paternal Surname

Maternal Surname

Nationality

RFC

CURP

• Address for hearing and receiving notifications

Street and exterior and interior number

Neighborhood

Delegation or municipality

Federal Entity

Postal Code

Country

Marital Status.

Name of spouse or concubine.

Name of relatives in direct line ascendant and descendant up to the first degree.

Legal Entities

• Identification Data

Trade name or corporate name

Main Activity

Nationality

RFC

Date of constitution

Name of the legal representative

Profession of the legal representative

Work background of the legal representative

• Address for hearing and receiving notifications

Street and exterior and interior number

Neighborhood

Delegation or municipality

Federal Entity

Postal Code

Country

• Name of shareholders participating with more than 20% or more of the share capital of the legal entity.*

Shareholder

(%)

• Regarding legal entities, trusts or other investment vehicles, the direct and indirect participations of individuals in the capital of these, must be related and broken down in such a way as to allow the identification of the individuals who are the ultimate beneficiaries of said participations.

According to statutes, can it invest in other companies?

Yes ______

No _____

Has the investment in question been approved by its board of directors?

Yes ______

No _____

Does it have or have had investment in financial entities?

Yes ______

No _____

Specify: __% equity

Name:__________

SECTION 2

Participation of the person in the credit union

Shareholder:

________ % shareholding

Position, if any

President of the Board of Directors

Board Member

owner

Independent:

Yes

No

Board Member

alternate

Independent:

Yes

No

Secretary of the Board of Directors

General Manager

Legal Director

Finance Director

Commercial Director

Other(s)

Which?

---

SECTION 3

Financial Relationship

Regarding individuals*

a) Assets and rights.

AMOUNT

(thousands of pesos)

1.- REAL ESTATE.

Total:

2.- SECURITIES AND OTHER MOVABLE ASSETS.

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 (Subtraction of 5 minus 8).

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.- ORIGIN OF RESOURCES.

SOURCE

ENTITY OR PERSON

AMOUNT (thousands of

pesos)

(%)

Own resources.

N/

A

Others. Specify:________

TOTAL RESOURCES:

100 %

14.- COMMENTS AND CLARIFICATIONS.

*Regarding the participation of legal entities, the corresponding financial statements for the last 3 fiscal years must be attached to the application.

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 on it 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 and obtain, from any other authority deemed convenient, information about my person, in connection with the authorization request presented before that Commission.

b)

Share it on a confidential basis with the National Insurance and Surety 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 exclusion of the undersigned, without prejudice to the 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

Name

Date

SECTION 6

Documents to be attached to this application

• Individuals

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

Copy of the tax identification card, if applicable.

Copy of the CURP.

Credit information reports, with an issuance date not greater than three months prior to the date of application.

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

Documents that allow showing the financial situation as provided in Section 3 above, and copy of the annual tax returns for the last three fiscal years.

• Legal Entities

Certified copy of the current social statutes.

Copy of the tax identification card.

Authenticated 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 obligated to do so, approved by its administrative body for the last three fiscal years, or those corresponding according to the date of their constitution.

In its case, authenticated 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 credit union to be constituted.

Credit information reports, with an issuance date not greater than three months prior to the date of application.

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

ANNEX 26

INFORMATION FORMAT FOR PERSONS WHO DIRECTLY OR INDIRECTLY ACQUIRE

MORE THAN FIVE PERCENT OF THE SHARES REPRESENTING THE SHARE CAPITAL OF A

REGULATED MULTIPLE-OBJECT FINANCIAL COMPANY

Name of the company.

Date of preparation.

This information is confidential and will be subject to review and verification by the Commission.

Filling Instructions.

This format must be duly filled out by persons who have directly or indirectly acquired more than five percent of shares representing the share capital of a regulated multiple-object financial company.

No blank spaces should be left. In any case, mention: None, No, I don't have, Not applicable.

All names and data required must be expressed in full (for example, persons with two names).

SECTION 1

PERSONAL IDENTIFICATION DATA

INDIVIDUALS

First Name(s).

Paternal Surname.

Maternal Surname.

Nationality.

RFC.

CURP.

Address for hearing and receiving notifications.

Street and exterior and interior number.

Neighborhood.

Delegation or municipality.

Federal Entity.

Postal Code.

Country.

Marital Status.

Name of spouse or concubine.

Name of relatives in direct line ascendant and descendant up to the first degree.

IDENTIFICATION DATA

LEGAL ENTITIES

Trade name or corporate name.

Main Activity.

Nationality.

RFC.

Date of constitution.

Legal Representative.

Profession.

Work Background.

Address for hearing and receiving notifications

Street and exterior and interior number.

Neighborhood.

Postal Code.

Delegation or municipality.

Federal Entity.

Country.

Name of shareholders participating with 5% or more of the share capital of the legal entity *

Shareholder

(%)

• Regarding legal entities, trusts or other investment vehicles, the direct and indirect participations of individuals in the capital of these, must be related and broken down in such a way as to allow the identification of the individuals who are the ultimate beneficiaries of said participations.

According to statutes, can it invest in other companies?

Yes ______

No _____

Has the investment in question been approved by its board of directors?

Yes ______

No _____

Does it have or have had investment in financial entities?

Yes ______

No _____

Specify: __% equity

Name:__________

SECTION 2

Participation of the person in the regulated multiple-object financial company

Shareholder.

___ % shareholding.

Position (if any).

President of the board of directors.

Board Member owner.

Independent:

Yes

No

Board Member alternate.

Independent:

Yes

No

Secretary of the board of directors.

General Manager.

Legal Director.

Finance Director.

Commercial Director.

Other(s).

Specify: ____________________________________

SECTION 3

FINANCIAL RELATIONSHIP

Regarding individuals:

a) Assets and rights.

AMOUNT

(thousands of pesos)

1.- REAL ESTATE.

Total:

2.- SECURITIES AND OTHER MOVABLE ASSETS.

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 (Subtraction of 5 minus 8).

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_ _.

Regarding the participation of legal entities, the corresponding financial statements for the last 3 fiscal years must be attached to the application.

13.- ORIGIN OF RESOURCES.

SOURCE

ENTITY OR PERSON

AMOUNT

(thousands of pesos)

(%)

Own resources.

N/

A

Others. Specify:________

TOTAL RESOURCES:

100 %

14.- COMMENTS AND CLARIFICATIONS.

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 Commission, regarding the information provided here, for:

a)

Verify it as deemed appropriate, as well as to obtain from any other authority deemed convenient information about my person, in connection with the acquisition of shares notified to that Commission.

b)

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

I confirm that I have read this format carefully and that I understand its content and legal implications.

I understand that providing false data will be grounds for exclusion of the undersigned, without prejudice to the 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

Name

Date

SECTION 6

DOCUMENTS TO BE ATTACHED TO THIS NOTIFICATION

INDIVIDUALS:

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

In its case, copy of the tax identification card.

Copy of the CURP.

Credit information reports, with an issuance date not greater than three months prior to the date of notification.

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

Documents that allow showing the financial situation as provided in Section 3 above, and copy of the annual tax returns for the last three fiscal years.

LEGAL ENTITIES:

Certified copy of the current social statutes.

Copy of the tax identification card.

Authenticated 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 obligated to do so, approved by its administrative body for the last three fiscal years, or those corresponding in accordance with the date of their constitution.

In its case, authenticated copy by the secretary of the board of directors of the resolution of the

administrative body that approves the subscription and payment of shares in the multiple-object financial society in which it participates.

Credit information reports, with an issue date not more than three months prior to the date of notification.

Financial statements for the last three years.

Copies of annual tax declarations for the last three fiscal periods.

---

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