Resolution modifying the General Provisions applicable to information requests made 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 Cooperative Savings and Loan Societies Law, and 55 of the Investment Funds Law — SHCP — MX

DOF: 04/09/2018

RESOLUTION that modifies the General Provisions applicable to the information requirements that the authorities referred to in Articles 142 of the Credit Institutions Law, 34 of the Popular Savings and Credit Law,

A seal with the National Emblem appears on the margin, which reads: United Mexican States.- Ministry of Finance and Public Credit.- National Banking and Securities Commission.

The National Banking and Securities Commission, based on what is provided by Articles 97 and 142 of the Credit Institutions Law; 34 and 122 Bis of the Popular Savings and Credit Law; 44 and 78 of the Credit Unions Law; 69 and 70 of the Law for Regulating the Activities of Cooperative Savings and Loan Societies; 55 of the Investment Funds Law; 73 of the Law for Regulating Financial Technology Institutions, as well as 4, fractions XXXVI and XXXVIII; 16 fraction I and 19 of the National Banking and Securities Commission Law, and

CONSIDERING

That on March 9, 2018, the Decree establishing the Law for Regulating Financial Technology Institutions and reforming and adding various provisions of different financial laws was published in the Official Gazette of the Federation;

That in terms of the Law for Regulating Financial Technology Institutions, the information and documentation related to the activities and services provided by financial technology institutions and the operations carried out through them, as well as the activities carried out with their clients by the societies authorized to operate with novel models in terms of said law, shall have the character of confidentiality, so that no news or information about the activities, operations, or services may be given, except to the persons indicated in said law, also providing exceptions to this rule in said legal order, and

That in view of the above, it is necessary to consider financial technology institutions and societies authorized to operate with novel models, in the provisions that establish the formalities and requirements that information requests made by judicial, administrative, and federal tax authorities, through the National Banking and Securities Commission, must meet, so that said institutions and societies are able to identify, locate, and provide the news or information requested by said authorities, has resolved to issue the following:

RESOLUTION THAT MODIFIES THE GENERAL PROVISIONS APPLICABLE TO INFORMATION REQUIREMENTS MADE BY 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 FOR REGULATING THE ACTIVITIES OF COOPERATIVE SAVINGS AND LOAN SOCIETIES AND 55 OF THE INVESTMENT FUNDS LAW

SOLE.- The name of the "General Provisions applicable to information requirements that 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 for Regulating the Activities of Cooperative Savings and Loan Societies and 55 of the Investment Funds Law" is REFORMED to become "General Provisions applicable to information requirements that 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 for Regulating the Activities of Cooperative Savings and Loan Societies, 55 of the Investment Funds Law and 73 of the Law for Regulating Financial Technology Institutions", as well as Articles 1; 2, fractions I, III and V, subsection a); 4, fraction VI; 6; 8; 9, second paragraph; 11, second paragraph and 17, fraction II of the General Provisions applicable to information requirements that 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 for Regulating the Activities of Cooperative Savings and Loan Societies and 55 of the Investment Funds Law, published in the Official Gazette of the Federation on February 12, 2013, modified by resolutions published in said dissemination organ on August 26, 2014 and March 13, 2017, to read as follows:

" Article 1.- These provisions aim to establish the requirements that information and documentation requests made by judicial, federal tax, and administrative 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 for Regulating the Activities of Cooperative Savings and Loan Societies, 55 of the Investment Funds Law and 73 of the Law for Regulating Financial Technology Institutions, must meet when addressed to the National Banking and Securities Commission, regarding:

I.
Operations or services that credit unions, popular financial societies, community financial societies, cooperative savings and loan societies, and investment funds enter into with their members, shareholders, or clients.

II.
Operations or services that credit institutions and Service Providers enter into with their clients and users.

III.
Operations carried out through financial technology institutions, as well as the activities and services provided by said institutions.

IV.
Activities carried out with their clients by societies authorized in terms of the Law for Regulating Financial Technology Institutions, to operate with novel models.

V.
Operations entered into or services provided by other Financial Entities with their clients.

All of the above, so that said entities and persons are able to identify, locate, and provide the requested information and documentation.

Article 2.- For the purposes of these provisions, the following shall be understood:

I.
Authority, singular or plural, refers to the judicial, federal tax, and administrative authorities indicated 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 for Regulating the Activities of Cooperative Savings and Loan Societies, 55 of the Investment Funds Law and 73 of the Law for Regulating Financial Technology Institutions.

II.
...

III.
Financial Entities, refers to credit institutions, credit unions, popular financial societies, community financial societies, cooperative savings and loan societies, investment funds, investment fund operating societies, investment fund share distribution societies, financial technology institutions, securities rating agencies, and securities depository institutions, the latter two with respect to the provision of their services to investment funds.

IV.
...

V.
Request, singular or plural, refers to:

a)
Information and documentation request made to the Commission by the different Authorities in the exercise of their powers, relative to the activities, operations, or services that Financial Entities, societies authorized to operate with novel models, or Service Providers enter into with their members, shareholders, clients, or users, and that correspond to the processes and procedures carried out within their respective areas of competence.

b) and c)
...

VI.
... "

" Article 4.- ...

I. to V.
...

VI.
The Financial Entity, the society authorized to operate with novel models, or the Service Provider to whom the Request in question shall be notified.

VII.
... "

" Article 6.- The information and documentation that Authorities request from the Commission shall only be that relative to the activities, operations, and services referred to in Articles 46 of the Credit Institutions Law, 36 of the Popular Savings and Credit Law, 40 of the Credit Unions Law, 19 of the Law for Regulating the Activities of Cooperative Savings and Loan Societies, 5, 32, 39, 39 Bis, 40, 40 Bis, 44, 48, 49, 51 and 51 Bis 1 of the Investment Funds Law, as well as 15, 16, 19, 22, 25, 80 and 86 of the Law for Regulating Financial Technology Institutions. "

" Article 8.- Authorities may accompany their Requests with documentary supports such as simple copies of contracts, account statements, checks, deposit slips, or any other document issued by Financial Entities, societies authorized to operate with novel models, or by Service Providers.

Article 9.- ...
In response to the Requests, the Commission will deliver to the Authorities the information and documentation provided by Financial Entities or societies authorized to operate with novel models, physically, via electronic device, or through SIARA. "

" Article 11.- ...
Requests shall be delivered only in original during the hours that the Commission's clerk's office operates, and in the case of Requests referred to in Article 2, fraction V, subsection b) of these provisions, they must be delivered by personnel attached to the Authority issuing it, who must identify themselves as such with their valid employee ID, or by third parties other than its personnel, provided they are expressly authorized by the Authority in the Request itself, identifying themselves with a valid official identification with photograph. All of the above, in order to prevent and avoid the receipt of forged documents. "

" Article 17.- ...

I.
...

II.
The required information and documentation does not refer to the activities, operations, or services carried out by Financial Entities, societies authorized to operate with novel models, or Service Providers.

III. to VI. ... "

TRANSITORY

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

Respectfully,

Mexico City, August 28, 2018. - The President of the National Banking and Securities Commission, José Bernardo González Rosas.- Initialled.

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