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

DOF: 28/09/2016

RESOLUTION that modifies the General Provisions applicable to savings and popular credit entities, integration organizations, community financial societies, and rural financial integration organizations, referred to in the Savings and Popular Credit Law.

A seal with the National Emblem, stating: United Mexican States.- Ministry of Finance and Public Credit.- National Banking and Securities Commission.

The National Banking and Securities Commission, with prior agreement of its Board of Directors, based on the provisions of Articles 10, fraction II, and 44, second paragraph of the Savings and Popular Credit Law, as well as Articles 4, fractions XXXVI and XXXVIII, and 16, fraction I of the National Banking and Securities Commission Law,

AND

CONSIDERING

That in order to avoid duplication and as an administrative convenience, in cases where one or more persons intend to participate indirectly in the share capital of a popular financial society belonging to a financial group, due to the acquisition of shares in the share capital of the controlling society, it is deemed convenient that for the purposes of the corresponding procedure before the National Banking and Securities Commission, the information considered relevant regarding potential shareholders be that which is presented to the Ministry of Finance and Public Credit and regarding which opinion is requested from the Commission itself, since it is the same information;

And additionally, in consistency with what is provided by the Savings and Popular Credit Law, it is necessary to clarify that regarding indirect participation carried out by individuals through legal entities in the share capital of popular financial societies, the National Banking and Securities Commission may request the necessary information from all shareholders of said legal entity, has resolved to issue the following:

RESOLUTION MODIFYING THE GENERAL PROVISIONS APPLICABLE TO SAVINGS AND POPULAR CREDIT ENTITIES, INTEGRATION ORGANIZATIONS, COMMUNITY FINANCIAL SOCIETIES AND RURAL FINANCIAL INTEGRATION ORGANIZATIONS, REFERRED TO IN THE SAVINGS AND POPULAR CREDIT LAW

FIRST.- Article 2 Bis, fraction II, third paragraph and the second paragraph of said article are REFORMED; Article 2 Bis 1 is ADDED, with a fourth paragraph, and Annex T of the "General Provisions applicable to savings and popular credit entities, integration organizations, community financial societies, and rural financial integration organizations, referred to in the Savings and Popular Credit Law" published in the Official Gazette of the Federation on December 18, 2006 and reformed through Resolutions published in the same Gazette on January 18 and August 11, 2008, December 16, 2010, December 18, 2012, January 12, February 6, April 2, September 22, October 29, 2015, January 7, February 2, April 22 and July 11, 2016, is SUBSTITUTED, to read as follows:

"TITLES

FIRST to NINTH

...

Annexes A to S

...

Annex T

Information format for persons who intend to participate in the share capital of a popular financial society or intend to become secured creditors with respect to the paid-in share capital of a popular financial society.

Annexes U to X

..."

"Article 2 Bis.-

...

I.

...

II.

...

In the event that there are schemes of indirect participation in the share capital of a Popular Financial Society, 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 Society up to the ultimate beneficiaries, for which all of them must present the information referred to in this article, considering the provisions of the previous paragraph.

The provisions of fraction II of this article shall not apply when the potential shareholders of the society to be constituted have the status of financial entities supervised by the Commission or by any of the other National Supervisory Commissions, or these are shareholders of said entities and their participation has been authorized in a period no greater than five years prior to their application, in which case they must present a sworn statement to the effect that their financial situation has not changed relative to that previously sent to the aforementioned Commissions in such a way as to prevent them from carrying out the acquisition in question. This without prejudice to the powers with which the Commission has to corroborate the truthfulness of the information provided.

...

Article 2 Bis 1.-

...

...

Persons who intend to indirectly acquire shares representing the share capital of a Popular Financial Society due to the acquisition of shares of a controlling society of a financial group, will be exempt from presenting to the Commission the information referred to in fraction II of the previous article, provided that such persons have submitted 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 dependency. For the purposes of the corresponding evaluation, the Commission will take into account the information that the Ministry of Finance and Public Credit sends it pursuant to said legal provision and the other applicable provisions. This without prejudice to the powers with which the Commission has to corroborate the truthfulness of the information provided, as well as to require in any case the presentation of the information and documentation referred to in fraction II of the previous article."

TRANSITIONAL

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.- Signature.

ANNEX T

INFORMATION FORMAT FOR PERSONS WHO INTEND TO PARTICIPATE IN THE SHARE CAPITAL OF A POPULAR FINANCIAL SOCIETY OR INTEND TO BECOME SECURED CREDITORS WITH RESPECT TO THE PAID-IN SHARE CAPITAL OF A POPULAR FINANCIAL SOCIETY

Name or possible name of the society.

Date of preparation.

This information forms part of the application submitted to the Commission, its content is confidential and will be subject to review and verification.

Filling Instructions.

This form must be duly filled out by:

a)
Persons who, within the application procedure for authorization to organize and operate as Popular Financial Societies in terms of what is provided by the Law, intend to subscribe more than two percent of the ordinary paid-in share capital of the society itself.

b)
Persons who intend to obtain authorization to acquire directly or indirectly more than five percent of shares representing the ordinary paid-in share capital of a Popular Financial Society.

c)
Persons who intend to become secured creditors with respect to five percent or more of shares representing the ordinary paid-in share capital of a Popular Financial Society.

d)
Each member 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 don't have, Not applicable.
All names and data required must be expressed in full (e.g., persons with two names).

SECTION 1.
PERSONAL IDENTIFICATION DATA.
INDIVIDUALS.
First Name(s).
Paternal Surname.
Maternal Surname.
Nationality.
RFC (Taxpayer Registry Code).
CURP (Unique Population Registry Code).
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 ascending and descending lineal relationship up to the first degree.
1.
2.
3.
4.
5.
6.
IDENTIFICATION DATA.
LEGAL ENTITIES.
Name or trade name.
Main activity.
Nationality.
RFC.
Date of constitution.
General Director or Legal Representative.
Profession.
Work history.
Address for hearing and receiving notifications.
Street and exterior and interior number.
Neighborhood.
Postal Code.
Delegation or municipality.
Federal Entity.
Country.
Name of persons who participate, directly or indirectly, with five percent or more of the share capital of the legal entity.* Name (%) 1. 2. 3. 4. 5.

• 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 you invest in other societies?
  Yes ______
  No _____
  Has the investment in question been approved by your board of directors?
  Yes ______
  No _____
  Do you have or have had investment in financial entities?
  Yes ______
  No _____
  Specify: % equity
  Name:________
  SECTION 2.
  Participation of the person in the Popular Financial Society.
  Shareholder.
  ___ % shareholding.
  Position (if applicable).
  President of the Board of Directors.
  Proprietary Councilor.
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