Resolution modifying the General Provisions applicable to information requests issued by authorities under Articles 142 of the Credit Institutions Law, 34 of the Popular Savings and Credit Law, 44 of the Credit Unions Law, 69 of the Savings and Loan Cooperative Societies Law, 55 of the Investment Funds Law, and 73 of the Financial Technology Institutions Law

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DOF: 24/12/2021

RESOLUTION modifying the General Provisions applicable to the information requests issued by the authorities referred to in Article 142 of the Credit Institutions Law, 34 of the Popular Savings and Credit Law,

At the margin, a seal with the National Coat of Arms, which reads: United Mexican States.- TREASURY.- Ministry of

Treasury and Public Credit.- National Banking and Securities Commission.

The National Banking and Securities Commission, based on Articles 98 Bis and 142, eleventh paragraph of the Credit Institutions Law; 34, ninth paragraph of the Popular Savings and Credit Law; 44 of the Credit Unions Law in relation to 142, eleventh paragraph of the Credit Institutions Law; 69, tenth paragraph of the Law to Regulate the Activities of Savings and Loan Cooperative Societies; 55, tenth paragraph of the Investment Funds Law; 73, twelfth paragraph of the Law to Regulate Financial Technology Institutions, as well as 4, fractions XXXVI and XXXVIII and 16 fraction I of the Law of the National Banking and Securities Commission, and

CONSIDERING

That, with the aim of establishing in the regulations governing the process of attending to the information and documentation requests formulated to the National Banking and Securities Commission by judicial and administrative authorities, as well as federal tax authorities, it is essential to establish mechanisms additional to the Authority Request Attention System (SIARA) of the Commission itself, incorporating in said regulations the appropriate conditions for the maximum use of the technological tools available in the current context, which reflects the principles of republican austerity referred to in the Federal Law of Republican Austerity, in order for the economic resources of the entities of the Federal Public Administration to be administered with effectiveness, efficiency, economy, transparency, and honesty as established in Article 134 of the Political Constitution of the United Mexican States, and

That, with the object of maintaining a framework of continuity in operation aligned with the work methodologies adopted by the National Banking and Securities Commission, it has been deemed necessary to carry out reforms with the aim, among others, of adding the figure "Follow-up Letter" with which the requests formulated by judicial and administrative authorities, as well as the aforementioned federal tax authorities, are generalized for the follow-up of their information requests, as well as to strengthen the automation in the presentation of such requests and follow-up letters through the use of new communication channels to eliminate the use of physical documents, has resolved to issue the following:

RESOLUTION MODIFYING THE GENERAL PROVISIONS APPLICABLE TO THE

INFORMATION REQUESTS ISSUED BY THE AUTHORITIES TO WHICH THE

ARTICLES 142 OF THE CREDIT INSTITUTIONS LAW,

34 OF THE POPULAR SAVINGS AND

CREDIT LAW, 44 OF THE CREDIT UNIONS LAW,

69 OF THE LAW TO REGULATE THE

ACTIVITIES OF SAVINGS AND LOAN COOPERATIVE

SOCIETIES, 55 OF THE INVESTMENT FUNDS LAW AND 73 OF THE LAW TO REGULATE FINANCIAL TECHNOLOGY INSTITUTIONS REFER

UNIQUE.- Articles 2, fraction VIII; 3, first paragraph, fractions I and VI; 7, fraction I, subsection c), item i); 9; 10; 11; 12, 16, and 17, first paragraph, fraction V, as well as the denominations of the First Section of Chapter III and of Chapters IV and V, are REFORMED,

and Articles 2, fractions IV and V

are ADDED, renumbering the remaining fractions in their order and as appropriate; 3, first paragraph, fractions VII, VIII and

IX, and 17, fraction VI, renumbering the following fraction in its order and as appropriate, as well as Annex 1, of the "General Provisions applicable to the information requests issued by the authorities referred to in Articles 142 of the Credit Institutions Law, 34 of the Popular Savings and Credit Law, 44 of the Credit Unions Law, 69 of the Law to Regulate the Activities of Savings and Loan Cooperative Societies, 55 of the Investment Funds Law and 73 of the Law to Regulate Financial Technology Institutions", published in the Official Gazette of the Federation on February 12, 2013 and last modified on September 4, 2018, to read as follows:

" INDEX

Chapters I to IV

. . .

ANNEX 1

Technical characteristics that Requests and Follow-up Letters must meet that

Authorities notify to the Commission electronically. "

" Article 2.-

. . .

I. to III.

. . .

IV

Follow-up Letter, singular or plural, issued to the Commission by the different Authorities

in the exercise of their powers, to know the status of a Request.

V.

Document Management Portal, the repository administered by the Commission to which the Authority

accesses to obtain the electronic information and documentation that the Commission makes available to it

in response to the Request, considering that, due to its size, it cannot be sent via SIARA or

e-mail.

VI. and VII.

. . .

VIII.

SIARA or System, the Authority Request Attention System, through which the

Authorities notify the Commission, through electronic means, the Requests and Follow-up Letters.

Article 3.- The Requests and Follow-up Letters that Authorities notify to the Commission

must comply, at a minimum, with the following formalities:

I.

Be prepared on official letterhead of the Authority.

II. to V.

. . .

VI.

Be addressed to the Commission.

VII.

Cite the address of the Authority to receive notifications and all kinds of documents.

VIII

Indicate the institutional e-mail address of the Authority previously

agreed with the

Commission for the notification of the requested information, through

the format for such effect

published at the link https://www.cnbv.gob.mx/PrevencionDeLavadoDeDinero/Documents/ FormatosSIARA.zip .

IX.

Contain the express declaration of the Authority regarding the following:

a)

That it accepts to receive the information and documentation subject to the Commission's responses to

its Requests and Follow-up Letters, by the same means by which these have been

notified to the Commission and that it will acknowledge receipt of the response in question within

three business days following its receipt, by e-mail or by SIARA,

understanding and accepting that, in case of not acknowledging receipt of said e-mail or by

SIARA, the Commission will consider the response notified, for the legal effects that may apply.

b)

That it accepts that the Commission sends the response via e-mail and to use the

Document Management Portal as a means to obtain the information and documentation that the

Commission deposits in response to its Requests and Follow-up Letters, obliging itself to

access said portal to download said information and documentation; that it accepts to acknowledge

receipt of the e-mail sent by the Commission within three business days following

its receipt, and that it understands and accepts that, in case of not acknowledging receipt of the

mentioned e-mail, the Commission will consider the response notified and the information downloaded from the portal by the Authority, for the legal effects that may apply.

. . . "

" Article 7.-

. . .

I.

. . .

a) and b)

. . .

c)

. . .

i)

In the case of checks, the account number, the number and amount

of the check, as well as the date of cashing or presentation for cashing, Financial Entity

drawn upon and Financial Entity where it was presented, if the latter

data is available.

. . .

ii) to iv)

. . .

d)

. . .

II.

. . . "

" Article 9.- Authorities must notify their Requests and Follow-up Letters through the

following means:

I.

Via SIARA, when it concerns Requests and Authorities that are already incorporated into said

system. For these purposes, the Requests must be digitized in TIFF format

( Tagged Image File Format ), observing the technical characteristics

indicated in Annex 1 of these provisions.

II.

Via e-mail and exceptionally, when it concerns Requests and the

Authorities are not incorporated into SIARA or if a contingency occurs that prevents

the use of said system in terms of Article 16 of these provisions. The

Requests indicated in this fraction must be digitized in PDF format

( Portable Document Format ), attending to the technical characteristics

indicated in Annex 1 of these provisions, and be sent from an institutional e-mail address

of the Authority itself and sent to the e-mail address comunicacionAA@cnbv.gob.mx or, if applicable, to the one published by the Commission for such effect on its Internet page.

III.

Via e-mail, when it concerns Follow-up Letters, which must be

digitized in PDF format ( Portable Document Format ) observing the

technical characteristics indicated in Annex 1 of these provisions, and be sent to the

e-mail address comunicacionAA@cnbv.gob.mx or, if applicable, to the one published by the

Commission on its Internet page.

In response to the Requests and Follow-up Letters, the Commission will deliver the information and

documentation provided by the Financial Entities or the societies authorized to operate with

novel models, through the means used by the Authority to notify its Request or Follow-up Letter.

The means of delivery of the documentation and information subject to the Commission's response may

be any of the following:

I.

SIARA.

II.

The official e-mail addresses of the Authorities indicated in terms of

Article 3, fraction VIII of these provisions.

III.

Exceptionally, through an electronic device or with a document in the physical or electronic

clerk's office of the corresponding Authority, when the Commission so determines due to the

nature of the information and documentation to be provided.

IV.

Through the Document Management Portal, when the information and documentation subject to the

Commission's response, due to its size, cannot be delivered via SIARA or by

e-mail. In this case, the Commission will send the response via e-mail to the

institutional e-mail address indicated by the Authority informing of such situation,

so that the Authority accesses said portal to download the referenced information and

documentation.

For the cases provided for in fractions I, II, and IV of the second paragraph of this article,

Authorities must acknowledge receipt of the response within three business days following its

receipt. After this period has elapsed without the Authority having acknowledged receipt of the response to its

Request or Follow-up Letter, the Commission will consider the response notified and downloaded, if applicable, the information from the portal by the Authority, for the legal effects that may apply.

First Section

Of the notification of Requests and Follow-up Letters by e-mail

Article 10.- Authorities that notify their Requests and Follow-up Letters to the e-mail address

comunicacionAA@cnbv.gob.mx, or to the one published on the Commission's Internet page for such effect, must use the formats published at the link https://www.cnbv.gob.mx/PrevencionDeLavadoDeDinero/Documents/FormatosSIARA.zip.

Article 11.- Requests and Follow-up Letters will be received electronically only on business days and during the hours of 9:00 to 15:00.

When Authorities notify Requests and Follow-up Letters outside the days and hours

indicated in the previous paragraph, the Commission will generate a receipt acknowledgment with the date of the next business day that corresponds.

In the event that Requests and Follow-up Letters are rejected for processing due to any of the cases

indicated in Article 17 of these provisions, the Commission will send the corresponding rejection document by the same means by which said Requests and Follow-up Letters were presented.

Second Section

Of the notification of Requests through SIARA

Article 12.- Authorities, to notify their Requests through SIARA, must deliver to

the e-mail address comunicacionAA@cnbv.gob.mx, or to the one published by the

Commission on its Internet page for such effect, the application for adherence to SIARA

according to the format available on the

Commission's Internet page or at the link https://www.cnbv.gob.mx/PrevencionDeLavadoDeDinero/ Documents/FormatosSIARA.zip. "

" Article 16.- Authorities incorporated into the System must notify their Requests using

SIARA, without being able to present them through another means, unless a contingency occurs that prevents

the use of SIARA, in which case the Commission will publish on its Internet page the corresponding notice, as well as the procedure that Authorities must follow to notify their

Requests, or they may use the means referred to in Article 9, fraction II, while the suspension of the System lasts.

Contingency is understood as any operational failure of SIARA that does not allow its proper

functioning, or as fortuitous events or force majeure that prevent access to SIARA for a period that could affect the operation and the proper fulfillment of the functions of the Commission

or of the Authorities.

Chapter IV

Of the rejection of Requests and Follow-up Letters

Article 17.- The Commission may reject Requests and Follow-up Letters when any of the

following cases occur:

I. to IV.

. . .

V.

The digitization of the Requests notified through SIARA is not legible or does not

comply with the technical characteristics indicated in Annex 1 of these provisions, as

well as when the content of the digitized document attached does not correspond to the data

recorded in SIARA.

VI.

When, regarding Requests and Follow-up Letters notified by e-mail in PDF format, these are not legible or do not comply with the technical

characteristics indicated in Annex 1 of these provisions.

VII.

. . . "

TRANSITORY

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

of the Federation.

Respectfully,

Mexico City, December 15, 2021. - President

of the National Banking and Securities Commission,

Dr. Jesús de la Fuente Rodríguez.- Signature.

ANNEX 1

Technical characteristics that Requests and Follow-up Letters must meet that the

Authorities notify to the Commission electronically

Authorities, in the digitization of Requests and Follow-up Letters that they notify to the

Commission electronically, must attend to the following.

I.

Files with TIFF extension ( Tagged Image File Format )

Regarding files with TIFF extension, the technical characteristics that the sent file

must meet are, at least, the following:

Characteristics

Values

Resolution:

150 x 150 or 200 x 200 dpi ( dots per inch ) or ppi (points per inch).

Color/gradation/depth:

Black and white or Binary (text).

Storage format:

Multi-page TIFF.

Compression:

CCITT Group 3 and 4 (1d) modified Huffman.

Units:

Pixels.

Size:

An adequate file size corresponds to a calculation of maximum 150 KB per page. This metric

allows for faster transfer of information.

II.

Files with PDF extension ( Portable Document Format )

Regarding files with PDF extension, the technical characteristics that the sent file

must meet are, at least, the following:

Characteristics

Values

Resolution:

150 x 150 / 200 x 200 / 300 x 300 dpi ( dots per inch ) or ppi (points per inch).

Page size:

Letter, legal. ( 1 )

Storage format:

PDF.

Size:

Not greater than 8 Mb.

PDF Version: ( 2 )

PDF 1.4 or higher.

Page orientation:

Vertical, without rotation.

Color or B/W: ( 3 )

Black and white or grayscale is recommended.

Password protection:

If the file is password-protected, no modifications can be made to it.

( 1 ) Letter size format is recommended. Legal size documents can be processed, although the resulting document in the download made from SitiAA will be letter size, potentially changing the proportion of the document. Any other size different from the two mentioned could cause a change in scale and cut off information.

( 2 ) The version depends on the software used to generate the PDF. Some tools allow selecting the version and others set it by default. To verify the PDF version of a file, it can be viewed from Acrobat Reader by entering the file properties, as shown below:

( 3 ) Although color files are supported, it is possible that when adding stamps or watermarks there may be contrast problems that hinder reading for those downloading from the SitiAA system; black and white or grayscale is recommended.

---

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