Region

Jurisdiction

Regulator

2016-12-27 | DOF 5467695

Added 2026-08-31

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

The National Banking and Securities Commission replaces Annexes 24, 25, 26, and 27 of the General Provisions applicable to general warehouses, exchange houses, credit unions, and regulated multiple-object financial companies. Shareholders of credit unions holding more than 15% or 30% of capital, or those acquiring more than 5% in specific scenarios, must submit new information formats and protest letters ten business days prior to the acquisition. The resolution establishes specific reporting requirements for individuals and legal entities seeking to maintain or acquire significant participations or control in these financial entities.

Mexico

Secretaria de Hacienda y Credito Publico

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DOF: 27/12/2016

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

At the margin, a seal with the National Coat of Arms, which says: United Mexican States.- Ministry of Finance and Public Credit.

The National Banking and Securities Commission, with the agreement of its Board of Directors, based on

the provisions of articles 87-B Bis, first paragraph and 87-C Bis 1, subsection d) and second paragraph of the General Law of Organizations and Auxiliary Credit Activities, 17, sections II, III, VI and second paragraph and

23, section II of the Credit Unions Law, as well as 4, sections XXXVI and XXXVIII, 16, section I and 19 of

the Law of the National Banking and Securities Commission, and

CONSIDERING

That in order to have solid credit unions and managed under the best quality standards, it is necessary to strengthen the controls that allow the National Banking and Securities Commission to verify the honorability, credit history and satisfactory business history of potential shareholders as required by the Credit Unions Law, and

That in order for the National Banking and Securities Commission to have information on the shareholders, board members and other relevant executives of regulated multiple-object financial companies, it is necessary to provide for such an obligation, it has resolved to issue the following:

RESOLUTION MODIFYING THE GENERAL PROVISIONS APPLICABLE TO

GENERAL WAREHOUSES, EXCHANGE HOUSES, CREDIT UNIONS AND REGULATED MULTIPLE-OBJECT FINANCIAL COMPANIES

SINGLE. - The Annexes 24, 25, 26 and 27 of the "General Provisions applicable to general warehouses, exchange houses, credit unions and regulated multiple-object financial companies", published in the Official Gazette of the Federation on January 19, 2009, and modified by resolutions published in said dissemination organ on July 1 and 30, 2009, February 18, 2010, February 4, April 11 and December 22, 2011, February 3 and June 27, 2012, January 31 2013, December 3, 2014, January 8 and 12, May 19, October 19 and 28, 2015, January 22, May 13 and September 28, 2016, are SUBSTITUTED, to read as follows:

"TITLES FIRST TO EIGHTH

...

Annexes 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-in share capital of a credit union.

Annex 25

Format of protest letter from potential shareholders of the credit union and persons who intend to constitute themselves as secured creditors with respect to the paid-in share capital of a credit union.

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

Curriculum vitae information format for persons holding the positions of board members and general director in regulated multiple-object financial companies. "

TRANSITORY PROVISIONS

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

SECOND.- Procedures and processes initiated prior to the entry into force of this Resolution shall continue to be governed by the provisions in force on the date of publication of this Resolution.

THIRD.- Shareholders of a credit union who fall under the circumstances described below shall be obligated to present to the National Banking and Securities Commission the information contained in Annexes 24 and 25 of the General Provisions applicable to general warehouses, exchange houses, credit unions and regulated multiple-object financial companies, which are substituted through this Resolution, 10 business days before the acquisition indicated in the following subsections is intended to be carried out:

Those who directly or indirectly hold more than fifteen percent of the share capital of said credit union and intend to acquire directly or indirectly, simultaneously or successively, shares for more than five percent without such acquisition implying obtaining thirty percent of the share capital or control of the credit union.

II.

Those who directly or indirectly hold more than thirty percent of the share capital or the control of the entity and intend to acquire directly or indirectly, simultaneously or successively, shares representing the share capital of said credit union for more than five percent.

The provisions of the preceding paragraph shall also apply to each shareholder who is part of a group of persons considered as such under the General Provisions applicable to general warehouses, exchange houses, credit unions and regulated multiple-object financial companies, which collectively and simultaneously or successively, intend to carry out the acquisitions indicated; or to the person who is part of a group of persons when by virtue of the acquisition of shares carried out individually it results that the group of persons holds more than thirty percent of the share capital or control of the entity.

Likewise, this provision shall be observed by those persons who on the date of entry into force of this Resolution hold in guarantee shares representing the share capital of a credit union and intend to receive in guarantee simultaneously or successively additional shares, in both cases under the same conditions as those indicated in the subsections of this article.

Respectfully,

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

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-IN SHARE CAPITAL OF A CREDIT UNION

Name or possible name of the company.

Date of preparation (dd/mm/yyyy).

This information is part of the authorization request to constitute and operate a credit union or of the authorization requests referred to in article 23 of the Credit Unions Law, as appropriate, presented 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 duly filled out by:

a) Natural or legal persons who intend to subscribe more than fifteen percent and up to the thirty percent of the share capital of a credit union.

b) Each of the members of a Group of persons who collectively intend 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 spaces should be left blank. 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

NATURAL PERSONS

Personal identification data

First name(s).

Paternal surname.

Maternal surname.

Nationality.

RFC (with homoclave).

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, concubine or concubine, as well as their economic dependents.

Name of relatives in the ascending and descending line up to the first degree.

LEGAL ENTITIES, TRUSTS OR INVESTMENT VEHICLES

Identification data

Name or trade name.

Main activity.

Nationality.

RFC (with homoclave).

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 or persons who participate with 10% or more of the share capital of the legal entity, or of the patrimony of the trust or investment vehicle. *

Shareholder

(%)

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

Can it invest in companies according to statutes?

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:

___ % current shareholding.

___ % shareholding after acquisition.

___ % shareholding with which it would participate in the new entity.

Position, if any.

President of the board of directors.

Board member

owner.

Independent:

Yes

Board member

alternate.

Independent:

Yes

Secretary of the Board of Directors.

General Director.

Legal Director.

Finance Director.

Commercial Director.

Other(s).

Which?

SECTION 3

PATRIMONIAL RELATIONSHIP

a) Assets and rights.

AMOUNT

(thousands of pesos)

1.- Real estate of the applicant, his spouse, concubine or concubine, as well as his economic dependents.

Total:

2.- Movable property (including motor vehicles, aircraft and vessels) of the applicant, his spouse, concubine or concubine, as well as his economic dependents.

Total:

3.- Balances in bank accounts of national or foreign financial entities (including deposits and debt securities).

Total:

4.- Others, including investments and other types of securities in the share capital of financial entities or legal entities with profit-making purposes national or foreign.

4.1.- Specify the name of the financial entity or legal entity:

4.2.- Specify the percentage of shareholding: _______.

Total:

5.- Share participation in the share capital of national or foreign financial entities or legal entities of the applicant, his spouse, concubine or concubine, as well as his economic dependents and relatives by cognate, affine or civil up to the first degree.

Total:

6.- Sponsorships, courtesies and donations received by the applicant, his spouse, concubine or concubine, as well as his economic dependents and relatives by cognate, affine or civil up to the first degree.

Total:

7.- Total assets and rights (gross patrimony).

b) Debts and obligations.

8.- Mortgages and financial obligations and loans of the applicant, his spouse, concubine or concubine, as well as his economic dependents and relatives by cognate, affine or civil up to the first degree.

Total:

9.- Others, including economic and financial interests.

Total:

10.- Total debts and obligations.

11.- Patrimony (Subtract 7 minus 10).

12.- Guarantees and sureties granted.

13.- Insurance policies.

14.- Total net income of the applicant.

Amount

(thousands of pesos).

Main source(s) of income.

Last year 20_ _.

Penultimate year 20_ _.

Antepenultimate year 20_ _.

15.- Total net income of the spouse, concubine or concubine and economic dependents of the applicant.

Amount

(thousands of pesos).

Main source(s) of income.

Last year 20_ _.

Penultimate year 20_ _.

Antepenultimate year 20_ _.

16.- Comments and clarifications.

SECTION 4

ORIGIN OF RESOURCES

Source

Entity or person

Exact amount to contribute to the share capital, price of the shares or amount of the obligation for which the guarantee is received, according to the case

(%).

Own resources. Specify:

N/A.

Others. Specify:________

(indicate if they come from loans granted by national or foreign financial entities).

Total resources:

100 %

Comments and clarifications.

SECTION 5

POSITIONS OR ACTIVITIES INFORMATION (NATURAL PERSONS)

1.- Positions and offices held in public or private entities by the applicant, his spouse, concubine or concubine, as well as his economic dependents and relatives by cognate, affine or civil up to the first degree.

2.- Professional or business activities carried out by the applicant, his spouse, concubine or concubine, as well as his economic dependents and relatives by cognate, affine or civil up to the first degree.

3.- Honorary positions and offices held by the applicant.

4.- Participation in councils and philanthropic activities of the applicant, his spouse, concubine or concubine, as well as his economic dependents and relatives by cognate, affine or civil up to the first degree.

SECTION 6

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 7

DECLARATIONS AND SIGNATURES

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

Verify it as it deems appropriate and obtain, from any other authority it deems convenient, information about my person, in connection with the authorization request presented to that Commission.

Share it on a confidential basis with the National Insurance and Sureties Commission, National Savings for Retirement 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 or legal representative

NAME

DATE

SECTION 8

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).

Copy of the tax identification card, if applicable.

Copy of the Unique Population Registry Key (CURP).

Credit information report, with the character of special credit report in terms of the Law to Regulate Credit Information Societies, with an issuance date no older 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 academic degree achieved.

Patrimonial situation of the last three years.

Report prepared by legal entities that provide auditing or business research services of recognized prestige, in the judgment of the National Banking and Securities Commission, on the veracity of the statements relative to the origin of the resources that constitute the patrimony of the person for which the respective documentary support must be kept in view. Likewise, the authorization request must be accompanied by the documentary evidence related to the referred origin of the resources.

Copy of the contract for the provision of auditing or business research services that the applicant has entered into with the legal entity referred to in the previous paragraph, which contains the terms and conditions agreed upon by the parties for the preparation of the report contained in the previous paragraph, regarding which the National Banking and Securities Commission may request modifications.

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

Legal entities

Certified copy of the current articles of incorporation.

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 its constitution.

If applicable, 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.

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

In the case of legal entities not obliged to audit their financial statements in terms of the applicable provisions, a report prepared by legal entities that provide auditing or business research services of recognized prestige, in the judgment of the National Banking and Securities Commission, on the veracity of the statements relative to the origin of the resources that constitute the patrimony of the person for which the respective documentary support must be kept in view. Likewise, the authorization request must be accompanied by documentary evidence related to the referred origin of the resources.

ANNEX 25

PROTEST LETTER FORMAT FOR POTENTIAL SHAREHOLDERS OF THE CREDIT UNION AND PERSONS INTENDING TO CONSTITUTE THEMSELVES AS SECURED CREDITORS WITH RESPECT TO THE PAID-IN SHARE CAPITAL OF A CREDIT UNION

This format must be duly filled out by:

Natural or legal persons who intend to subscribe more than five percent and up to the thirty percent of the share capital of a credit union.

Each of the members of a Group of persons who collectively intend 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.

A) NATURAL PERSONS

Mexico City, _____ of __________ of _____

NATIONAL BANKING AND SECURITIES COMMISSION

Present,

The undersigned, ( name of the person signing ), by my own right and with the object of providing the information that may be necessary in relation to the authorization request [to be presented] presented to that National Banking and Securities Commission for [the organization and operation of the credit union to be named ____________] [acquire the shares representing the ______ percent of the share capital of the credit union named ____________] [receive in guarantee the shares representing the ______ percent of the share capital of the credit union named ____________], I declare under oath that the following is true:

That I have a good credit history according to the credit information report with the character of special credit report in terms of the Law to Regulate Credit Information Societies, issued by the credit information society named______, and I am up to date in the fulfillment of my obligations, including loans that have been subject to restructuring. Attached hereto, please find as Annex 1, the special credit report of the undersigned, in which that Commission can verify that there is no non-compliance with my credit obligations, or if there is any prevention key in that regard, from the report itself it can be appreciated:

The existence of a favorable resolution for the debtor regarding the challenge of the record in question, due to errors attributable to the users of the credit information societies that are financial entities subject to the supervision of the National Banking and Securities Commission;

The existence of payment of overdue debts on the date of the query and evidence of sustained payment over a period of 1 year;

c) Payment of losses caused to a financial entity, regardless of its amount, promoted voluntarily by the creditor, or

The existence of judicial resolutions favorable to the creditors, in litigation with the creditors.

Likewise, I declare that I do not have nor have had control, nor do I exercise nor have I exercised command power over an issuing company that has failed to meet its debt securities payment obligations in the securities market.

II.

That I am not, nor have I been, subject to criminal proceedings for intentional crimes punishable by imprisonment of more than one year, and that, in the event that I have been, this concluded with an acquittal.

III.

That I have not been subject to administrative investigation or inquiry procedures before the National Banking and Securities Commission for violations of national or foreign financial laws, or before other Mexican supervisory and regulatory institutions of the financial system or of other countries, or if I have been, these concluded with a final and definitive resolution or agreement/convention in which my exoneration was expressly determined.

IV.

That I have not been declared in civil or commercial bankruptcy, or even if I have been, this was terminated due to the causes indicated in subsections I, II or V of article 262 of the Law of

Commercial Bankruptcies, or, in the case of civil bankruptcy, having paid creditors in full or entered into an agreement with them, in accordance with local laws.

That I am or have been a subject or party in proceedings before common or federal jurisdictional bodies, criminal investigations, as well as any other procedure, even in other countries, individually and, where applicable, in my capacity as legal representative, board member, official, employee, or agent of any legal entity, which are indicated below: (1)

Type of procedure Body before which the procedure is conducted Capacity in which I intervened Status of the procedure, including start date and, where applicable, conclusion Outcome of the final resolution, where applicable

VI.

That I have not been a shareholder, board member, auditor, general director, or relevant executive in a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission, or the National Retirement Savings System Commission, have denied a concession, authorization, or registration, nor has authorization been denied to me to acquire shares representing the social capital of companies supervised by said National Commissions.

VII.

That I have not been a shareholder, board member, auditor, or relevant executive in a financial entity whose concession or authorization has been revoked, or whose registration has been cancelled, nor has authorization been denied to me to acquire shares representing the social capital of companies that enjoy the concession, authorization, or registration of the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission, or the National Retirement Savings System Commission.

The undersigned authorizes the National Banking and Securities Commission to verify, where applicable, before Mexican financial entities, credit information societies, the Bank Insurance Protection Institute, and any competent authority, the truthfulness of the declarations contained in this document, regarding any type of operation, in terms and with the breadth referred to in Articles 142 of the Credit Institutions Law, 192 and 295 of the Securities Market Law, 44 of the Credit Unions Law, 55 of the Investment Funds Law, and other applicable provisions.

Likewise, I authorize said Commission to, during the time I serve as a shareholder of the credit union in question or maintain shares representing its social capital in guarantee, if said Commission learns by any means that I no longer meet the conditions of fractions I to IV and VI and VII above, or if it has news that I am in a process before any jurisdictional body, verify and request the corresponding information.

The declarations under oath of telling the truth contained in this document are made for the purpose of allowing that National Banking and Securities Commission to have elements of judgment to evaluate the honorability, satisfactory credit history, and business history of the undersigned and to determine, where applicable, in the exercise of the discretionary power conferred by Articles 17, fraction II, and 23 of the Credit Unions Law on that authority, whether it is prudent and opportune that [participate as a shareholder in the social capital of the credit union to be named ___________] [participate as a shareholder in the social capital of the credit union named ___________] [receive in guarantee the shares of the social capital of the credit union named ___________], with the proposed shareholding percentages [to be proposed] in the authorization request we are addressing.

Sincerely,

(Name and signature of the interested party)

Filling Instructions:

Fill in the blanks and provide the information indicated in parentheses, as appropriate.

Attach the credit information report with the character of special credit report in terms of the Law to Regulate Credit Information Societies, which constitutes Annex 1, with an issuance date no older than three months prior to the date of the application.

In the event that the interested party is unable to make any of the declarations referred to in fractions I to IV of this letter, they must express in the corresponding numeral this circumstance, detailing the facts, acts, and reasons that prevent them or for which they do not fit the referred conditions.

In the event that the person has caused loss, damage, or financial detriment, directly or through an intermediary person, to the detriment of financial entities due to non-compliance with obligations under their charge or of discounts, forgiveness, or discounts received regarding credits, unless these were under general programs implemented by the financial entities themselves or the Federal Government, the interested party must declare this situation, indicating the terms and characteristics of the credit in question, with indication of the lending entity, as well as a detailed description of the circumstances under which the loss, damage, or financial detriment occurred.

For the purposes of the above, it will be understood that a natural person acted through the interposition of a legal entity, when the former has or has had control of the latter, or when it exercises or has exercised command power over the society or association in question.

In the event that the person has caused loss, damage, or financial detriment to the detriment of issuing companies in the securities market in which they exercise or have exercised control or have or have had command power, due to non-compliance with payment obligations contracted with these, the interested party must declare this situation, indicating the terms and characteristics of the operation in question, with indication of the issuing company, as well as a detailed description of the circumstances under which the loss, damage, or financial detriment occurred.

In the event that the person has been a shareholder, board member, auditor, general director, or relevant executive in a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission, or the National Retirement Savings System Commission, have denied the concession, authorization, or registration; or their concession or authorization has been revoked, or registration cancelled, or authorization to acquire shares representing the social capital of said legal entities has been denied, they must declare this situation, indicating a detailed description of the circumstances under which the concession, authorization, registration, or authorization to acquire shares representing the social capital was revoked, cancelled, or denied.

Accompany a document issued by a legal entity of recognized prestige in the judgment of the National Banking and Securities Commission, which provides legal services and in which the information indicated in fraction V above is stated, noting that it had the supporting documentation for this, in case a procedure has been declared.

Copy of the legal services contract that the applicant has entered into with the legal entity referred to in the previous numeral, which contains the terms and conditions agreed upon between the parties for the issuance of the document contained in the previous numeral, regarding which the National Banking and Securities Commission may require modifications.

Attach their curriculum vitae in which the reasons or causes for the termination of the labor relationships presented in said information are detailed.

Attach the registration data certificate issued by the Attorney General's Office of the Republic or the Prosecutor's Office that replaces it, as well as the certificate of no criminal records issued by the Justice Attorney's Office or the Prosecutor's Office of the State of their residence and the State where they have their main place of business.

B) LEGAL ENTITIES

Mexico City, on _____ of __________ of _____

NATIONAL BANKING AND SECURITIES COMMISSION

Present,

( Name or corporate name of the legal entity ), through its representative (name of the legal representative), personality accredited through power of attorney contained in (data of the deed and its registration in the Public Commerce Registry), declares under oath of telling the truth and with the object of providing the information that may be necessary in relation to the authorization request [to be presented] presented before that National Banking and Securities Commission for [the organization and functioning of the credit union to be named ____________] [acquiring the shares that represent the ______ percent of the social capital of the credit union named ____________] [receiving in guarantee the shares that represent the ______ percent of the social capital of the credit union named ____________], the following:

That our represented party enjoys a satisfactory credit history according to the credit information report with the character of special credit report in terms of the Law to Regulate Credit Information Societies, issued by the credit information society named______, and is up to date in the fulfillment of its obligations, including regarding credits that have been subject to restructuring. Attached hereto, please find as Annex 1, the special credit report in which that Commission can verify that there is no non-compliance with the credit obligations of our represented party, or that if there is any prevention key in this regard, from the report itself it can be appreciated:

The existence of a favorable resolution for the debtor due to the challenge of the registration in question, due to errors attributable to the users of the credit information societies that are financial entities subject to the supervision of the National Banking and Securities Commission;

The existence of payment of overdue debts as of the date of the query and evidence of sustained payment over a period of 1 year;

Payment of losses caused to a financial entity, regardless of its amount, promoted voluntarily by the borrower, or

The existence of favorable judicial resolutions for the borrowers, before litigation with creditors.

Likewise, we declare that our represented party has not failed to comply with its payment obligations on debt titles in the securities market, nor does it exercise or has it exercised command power over an issuing company that has done so.

II.

That it has not been subject to investigation or administrative inquiry procedures before the National Banking and Securities Commission for violations of national or foreign financial laws, or before other Mexican supervisory and regulatory institutions of the financial system or of other countries, or that, having been so, these concluded with a firm and definitive resolution or agreement/convention in which its exoneration was expressly determined.

III.

That it has not been declared in civil or commercial bankruptcy, or that even if it has been, this was terminated by the causes indicated in fractions I, II, or V of Article 262 of the Commercial Bankruptcies Law, or, in the case of civil bankruptcy, by having paid creditors in full or entered into an agreement with them, in accordance with local laws.

IV.

That it is or has been a subject or party in proceedings before common or federal jurisdictional bodies, criminal investigations, as well as any other procedure, which are indicated below: (2)

That it has not been a shareholder of a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission, or the National Retirement Savings System Commission, have denied the concession, authorization, or registration.

VI.

That it has not been a shareholder of a financial entity whose concession, authorization, or registration has been revoked by the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission, or the National Retirement Savings System Commission.

The undersigned on behalf of its represented party authorizes the National Banking and Securities Commission to verify, where applicable, before Mexican financial entities, credit information societies, and any competent authority, the truthfulness of the declarations contained in this document, regarding any type of operation, in terms and with the breadth referred to in Articles 142 of the Credit Institutions Law, 192 and 295 of the Securities Market Law, 55 of the Investment Funds Law, and 44 of the Credit Unions Law and other applicable provisions.

Likewise, I authorize said Commission to, during the time my represented party serves as a shareholder of the credit union in question or maintains shares representing its social capital in guarantee, if said Commission learns by any means that it no longer meets the conditions of fractions I to III and V and VI above, or if it has news that it is in a process before any jurisdictional body, verify and request the corresponding information.

The declarations under oath of telling the truth contained in this document are made for the purpose of allowing that National Banking and Securities Commission to have elements of judgment to evaluate the honorability, satisfactory credit history, and business history of my represented party and to determine, where applicable, in the exercise of the discretionary power conferred by Articles 17, fraction II, and 23 of the Credit Unions Law on that authority, whether it is prudent and opportune that [participate as a shareholder in the social capital of the credit union to be named ___________] [participate as a shareholder in the social capital of the credit union named ___________] [receive in guarantee the shares of the social capital of the credit union named ___________], with the proposed shareholding percentages [to be proposed] in the authorization request we are addressing.

Sincerely,

(Name and signature of the legal representative)

(Name or corporate name of the legal entity)

Filling Instructions:

Fill in the blanks and provide the information indicated in parentheses, as appropriate.

In the event that the interested party is unable to make any of the declarations referred to in fractions I to III of this letter, they must express in the corresponding numeral this circumstance, detailing the facts, acts, and reasons that prevent them or for which they do not fit the referred conditions.

For the purposes of the above, it will be understood that a legal entity acted through the interposition of another legal entity, when the former has or has had control of the latter, or when it exercises or has exercised command power over the society or association in question.

In the event that the person has been a shareholder in a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission, or the National Retirement Savings System Commission have denied the concession, authorization, or registration, or their concession has been revoked, they must declare this situation, indicating a detailed description of the circumstances under which the concession, authorization, or registration was revoked or denied.

Accompany a document issued by a legal entity of recognized prestige in the judgment of the National Banking and Securities Commission, which provides legal services and in which the information indicated in fraction IV above is stated, noting that it had the supporting documentation for this, in case a procedure has been declared.

ANNEX 26

INFORMATION FORMAT FOR PERSONS WHO ACQUIRE DIRECTLY OR INDIRECTLY MORE THAN FIVE PERCENT OF THE SHARES REPRESENTING THE SOCIAL CAPITAL OF A REGULATED MULTIPLE-OBJECT FINANCIAL COMPANY

Name of the company.

Date of preparation (dd/mm/yyyy).

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

Filling Instructions.

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

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

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

SECTION 1

PERSONAL IDENTIFICATION DATA

NATURAL PERSONS

First Name(s).

Paternal Surname.

Maternal Surname.

Nationality.

RFC (with homoclave).

CURP.

Address for hearing and receiving notifications.

Street and exterior and/or interior number.

Neighborhood.

Delegation or Municipality.

Federative Entity.

Postal Code.

Country.

Marital Status.

Name of spouse, concubine, or concubine, as well as their economic dependents.

Name of relatives in ascending and descending line up to the first degree.

IDENTIFICATION DATA

LEGAL ENTITIES, TRUSTS, OR

INVESTMENT VEHICLES

Name or corporate name.

Main activity.

Nationality.

RFC (with homoclave).

Date of constitution.

Name of the legal representative.

Profession of the legal representative.

Work history of the legal representative.

Address for hearing and receiving notifications

Street and exterior and/or interior number.

Neighborhood.

Postal Code.

Delegation or Municipality.

Federative Entity.

Country.

Name of shareholders or persons who

participate with 10% or more of the social

capital of the legal entity, or of the

patrimony of the trust or investment vehicle. *

Shareholder

(%)

In the case of legal entities, trusts, or other investment vehicles, the direct and indirect participations of natural persons in the capital of these must be related and broken down in a way that allows the identification of the natural persons who are the ultimate beneficiaries of said participations.

According to statutes, can you invest in companies?

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:

___ % shareholding.

Name: __________________________

SECTION 2

PARTICIPATION OF THE PERSON IN THE MULTIPLE-OBJECT FINANCIAL COMPANY

Shareholder.

___ % current shareholding.

___ % shareholding after acquisition.

Position (if applicable).

President of the board of directors.

Proprietary Board Member.

Independent:

Yes

Alternate Board Member.

Independent:

Yes

Secretary of the board of directors.

General Director.

Legal Director.

Finance Director.

Commercial Director.

Other(s).

Specify: ____________________________________

SECTION 3

PATRIMONIAL RELATIONSHIP

a) Assets and rights.

AMOUNT

(thousands of pesos)

1.- Real estate of the applicant, their spouse, their concubine or concubine, as well

as their economic dependents.

Total:

2.- Movable property (including motor vehicles, aircraft, and

vessels) of the applicant, their spouse, concubine or concubine, as well as their

economic dependents.

Total:

3.- Balances in bank accounts of national or foreign financial entities

(including deposits and debt securities).

Total:

4.- Others, including investments and other types of securities in the social capital of

financial entities or legal entities for profit national or

foreign.

4.1.- Specify the name of the financial entity or legal entity:

4.2.- Specify the percentage of shareholding: _______.

Total:

5.- Share participation in the social capital of financial entities or legal

entities national or foreign of the applicant, their spouse, concubine or

concubine, as well as of their economic dependents and relatives by

consanguinity, affinity, or civil up to the first degree.

Total:

6.- Sponsorships, courtesies, and donations received by the applicant, their spouse, concubine or concubine, as well as their economic dependents and relatives by consanguinity, affinity, or civil up to the first degree.

Total:

7.- Total assets and rights (gross wealth). b) Debts and obligations.

8.- Mortgages, financial obligations, and loans of the applicant, their spouse, concubine or concubine, as well as their economic dependents and relatives by consanguinity, affinity, or civil up to the first degree.

Total:

9.- Others, including economic and financial interests.

Total:

10.- Total of debts and obligations.

11.- Wealth (subtraction of 10 from 7).

12.- Guarantees and sureties granted.

13.- Insurance policies.

14.- Total net income of the applicant.

Amount (thousands of pesos).

Main source(s) of income.

Last year 20_ _.

Penultimate year 20_ _.

Antepenultimate year 20_ _.

15.- Total net income of the spouse, concubine or concubine and economic dependents of the applicant.

Amount (thousands of pesos).

Main source(s) of income.

Last year 20_ _.

Penultimate year 20_ _.

Antepenultimate year 20_ _.

16.- Comments and clarifications.

SECTION 4

ORIGIN OF RESOURCES

Source

Entity or person

Exact amount to contribute to the capital social, price of the shares or amount of the obligation for which the guarantee is received, as the case may be

(%)

Own resources. Specify:

N/A

Others. Specify:________.

(Indicate if they come from credits granted by national or foreign financial entities).

Total resources:

100%

Comments and clarifications.

SECTION 5

INFORMATION ON POSITIONS OR ACTIVITIES (NATURAL PERSONS)

1.-

Positions and roles held in public or private entities by the applicant, their spouse, concubine or concubine, as well as their economic dependents and relatives by consanguinity, affinity, or civil up to the first degree.

2.-

Professional or business activities carried out by the applicant, their spouse, concubine or concubine, as well as their economic dependents and relatives by consanguinity, affinity, or civil up to the first degree.

3.-

Honorary positions and roles held by the applicant.

4.-

Participation in boards and philanthropic activities of the applicant, their spouse, concubine or concubine, as well as their economic dependents and relatives by consanguinity, affinity, or civil up to the first degree.

SECTION 6

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 7

DECLARATIONS AND SIGNATURES

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

Verify it as deemed pertinent, 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.

Share it on a confidential basis with the National Insurance and Sureties 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 carefully read this form and 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 8

DOCUMENTS THAT MUST ACCOMPANY THIS NOTIFICATION

NATURAL PERSONS:

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

In applicable cases, copy of the tax identification card.

Copy of the Unique Population Registry Key (CURP).

Credit information reports, with the character of special credit report under the terms of the Law for Regulating Credit Information Societies, with an issuance date no older than three months prior to the application date.

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

Wealth situation of the last three years.

Opinion prepared by legal entities that provide auditing or corporate investigation services of recognized prestige, at the discretion of the National Banking and Securities Commission, on the veracity of the statements regarding the origin of the resources that make up the wealth of the person for which the respective documentary support must be kept on file. Likewise, the documentary evidence related to the aforementioned origin of the resources must be attached to the information.

Copy of the contract for the provision of auditing or corporate investigation services that the applicant has entered into with the legal entity referred to in the preceding paragraph, which contains the terms and conditions agreed upon by the parties for the preparation of the opinion contained in the preceding paragraph, regarding which the National Banking and Securities Commission may require modifications.

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

LEGAL ENTITIES:

Certified copy of the current bylaws.

Copy of the tax identification card.

Copy authenticated by the sole administrator or by the secretary of the board of directors, of the audited annual financial statements and of the external auditor's opinion, in case of being obligated to do so, approved by their administrative body for the last three fiscal years, or those corresponding in accordance with the date of their constitution.

In applicable cases, copy authenticated 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-object financial society in which it participates.

Credit information report, with the character of special credit report under the terms of the Law for Regulating Credit Information Societies, with an issuance date no older than three months prior to the application date.

Financial statements of the last three years.

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

Regarding legal entities that are not obligated to audit their financial statements under the applicable provisions, an opinion prepared by legal entities that provide auditing or corporate investigation services of recognized prestige, at the discretion of the National Banking and Securities Commission, on the veracity of the statements regarding the origin of the resources that make up the wealth of the person for which the respective documentary support must be kept on file. Likewise, documentary evidence related to the aforementioned origin of the resources must be attached to the information.

ANNEX 27

CURRICULAR INFORMATION FORMAT FOR PERSONS OCCUPYING THE POSITIONS OF DIRECTORS AND GENERAL MANAGER IN REGULATED MULTIPLE-OBJECT FINANCIAL SOCIETIES

Name of the society.

Date of preparation (dd/mm/yyyy).

This information is confidential and may be subject to review and verification by the National Banking and Securities Commission.

Filling instructions. This format must be filled out by:

Directors.

General manager.

No blank spaces should be left; in any case, mention: None, No, I don't have, Not applicable. All names and required data must be presented in full (e.g., persons with two names).

SECTION 1

PERSONAL IDENTIFICATION DATA

Name(s).

Paternal surname.

Maternal surname.

Nationality.

RFC (with homoclave).

Unique Population Registry Key (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 (partner).

Name of relatives in the ascending and descending line up to the fourth degree.

SECTION 2

PERSON'S PARTICIPATION IN THE REGULATED MULTIPLE-OBJECT FINANCIAL SOCIETY

Position.

£ £

President of the board of directors.

£ £

Proprietary Director.

£ £

Independent:

Yes

£ £

Alternate Director.

£ £

Independent:

Yes

£ £

Secretary of the board of directors.

£ £

General manager.

SECTION 3

ACADEMIC HISTORY

Institution

Date

Degree

SECTION 4

PROFESSIONAL EXPERIENCE (FIVE YEARS OF EXPERIENCE IN THE MATTER)

Institution

Period

Position

SECTION 5

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 6

DECLARATIONS AND SIGNATURES

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

Verify it as deemed pertinent, as well as to obtain from any other authority deemed convenient information about my person, in connection with the authorization request submitted to that Commission.

Share it on a confidential basis with the National Insurance and Sureties 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 form with care, such that I understand its content and legal implications.

I understand that providing false data will be grounds for 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 7

DOCUMENTS THAT MUST ACCOMPANY THIS NOTIFICATION

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 and of the Unique Population Registry Key.

Documentation supporting the information referred to in Sections 3 and 4 of this Annex.

Curriculum Vitae.

Certificate of registration data issued by the Attorney General's Office or the Attorney General that replaces it, as well as a certificate of no criminal record issued by the Attorney General of Justice or the State Attorney's Office of the place of residence and of the State where the main place of business is located.

Only in the case where the undersigned has been subject to any process before common or federal jurisdictional courts, criminal investigations, as well as any other that by its relevance must be declared by the applicant. In the contrary case, the fields must be filled with "N/A".

Only in the case where the legal entity has been subject to any process before common or federal jurisdictional courts, criminal investigations, as well as any other that by its relevance must be declared by the applicant. In the contrary case, the fields must be filled with "N/A".

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DOLLAR

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6.51%

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