Resolution modifying the General Provisions applicable to Savings and Credit Institutions, Integration Organizations, Community Financial Societies, and Rural Financial Integration Organizations under the Savings and Credit Popular Law — SHCP — MX

DOF: 12/27/2016

RESOLUTION that modifies the General Provisions applicable to Savings and Credit Institutions, Integration Organizations, Community Financial Societies, and Rural Financial Integration Organizations, referred to in the Savings and Credit Popular Law.

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 10, fractions II and IV, and 44, second paragraph, of the Savings and Credit Popular Law, as well as Articles 4, fractions XXXVI and XXXVIII, 16, fraction I, and 19 of the National Banking and Securities Commission Law, and

CONSIDERING

That in order to have solid popular financial societies managed under the best quality standards, it is necessary to strengthen 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 Savings and Credit Popular Law, has resolved to issue the following:

RESOLUTION THAT MODIFIES THE GENERAL PROVISIONS APPLICABLE TO

SAVINGS AND CREDIT INSTITUTIONS, INTEGRATION ORGANIZATIONS, COMMUNITY

FINANCIAL SOCIETIES AND RURAL FINANCIAL INTEGRATION ORGANIZATIONS, REFERRED TO

IN THE SAVINGS AND CREDIT POPULAR LAW

SOLE ARTICLE.- Annexes T and U of the "General Provisions applicable to Savings and Credit Institutions, Integration Organizations, Community Financial Societies, and Rural Financial Integration Organizations, referred to in the Savings and Credit Popular Law," published in the Official Gazette of the Federation on December 18, 2006, and amended by resolutions published in said dissemination organ on January 18 and August 11, 2008, December 16, 2010, December 18, 2012, and January 12, February 6, April 2,

September 22, October 29, 2015, January 7, February 2, April 22, July 11, and September 28, 2016, are REPLACED, to read as follows:

"TITLES FIRST TO NINTH

...

Annexes A to S

...

Annex T

Information format for persons intending to participate in the share capital

of a Popular Financial Society or intend to become secured creditors

regarding the paid-up share capital of a Popular Financial Society.

Annex U

Protest letter formats for persons intending to participate in the share capital

of a Popular Financial Society or intend to become secured creditors

regarding the paid-up share capital of a Popular Financial Society.

Annexes V to X

...

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 popular financial society who fall under the circumstances described below shall be obligated to present to the National Banking and Securities Commission the information contained in Annexes T and U of the General Provisions applicable to Savings and Credit Institutions, Integration Organizations, Community Financial Societies, and Rural Financial Integration Organizations, referred to in the Savings and Credit Popular Law, which are replaced through this Resolution, ten business days before the acquisition indicated in the following fractions is attempted:

Those who directly or indirectly hold more than ten percent of the share capital of said popular financial society and intend to acquire directly or indirectly, simultaneously or successively, shares for more than five percent, provided that such acquisition does not imply obtaining twenty percent of the share capital or control of the society.

II.

Those who directly or indirectly hold more than twenty percent of the share capital or control of the society and intend to acquire directly or indirectly, simultaneously or successively, shares representing the share capital of said popular financial society 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 terms of the General Provisions applicable to Savings and Credit Institutions, Integration Organizations, Community Financial Societies, and Rural Financial Integration Organizations, referred to in the Savings and Credit Popular Law, 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 twenty 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 shares representing the share capital of a popular financial society in guarantee and intend to receive additional shares in guarantee simultaneously or successively, in both cases under the same conditions as those indicated in the fractions of this article.

Respectfully,

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

ANNEX T

INFORMATION FORMAT FOR PERSONS INTENDING TO PARTICIPATE IN THE

SHARE CAPITAL OF A POPULAR FINANCIAL SOCIETY OR INTEND TO BECOME

SECURED CREDITORS REGARDING THE PAID-UP SHARE CAPITAL OF A POPULAR

FINANCIAL SOCIETY

Name or possible name of the

society.

Date of preparation (dd/mm/yyyy).

This information is part of the application submitted to the National Banking and Securities Commission,

its content is confidential and will be subject to review and verification.

Filling Instructions.

This format must be duly filled out by:

Persons who, within the application process for authorization to organize and operate as

Popular Financial Societies under the provisions of Article 44 of the Savings and Credit

Popular Law, intend to subscribe to more than two percent of the paid-up ordinary share capital

of the society itself.

Persons who intend to obtain authorization to acquire directly or indirectly more than five

percent of shares representing the paid-up ordinary share capital of a Popular Financial Society.

Persons who intend to become secured creditors regarding five percent or

more of shares representing the paid-up ordinary share capital of a Popular Financial

Society.

Each of the members of a group of persons who, collectively, intend to obtain more

than 20% or control of a Popular Financial Society.

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

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

Federal 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 straight 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 General Manager or

legal representative.

Profession of the General Manager or

legal representative.

Work background of the General Manager

or legal representative.

Address for hearing and receiving notifications.

Street and exterior and/or interior number.

Neighborhood.

Postal code.

Delegation or Municipality.

Federal Entity.

Country.

Name of shareholders or persons who

participate with 10% or more of the share

capital of the legal entity, or of the trust

estate 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 such participations.

Can you invest in societies according to statutes?

Yes ______

No _____

Has the investment in question been approved by your board of

directors?

Yes ______

No _____

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

Yes ______

No _____

Specify:

___ % equity.

Name: __________________________

SECTION 2

PERSON'S PARTICIPATION IN THE POPULAR FINANCIAL SOCIETY

Shareholder.

___ % current shareholding.

___ % shareholding after acquisition.

Position (if applicable).

President of the Board of Directors.

Proprietor Director.

Independent:

Yes

Alternate Director.

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