Resolution modifying the general provisions applicable to securities depository institutions and stock exchanges

DOF: 22/12/2015

RESOLUTION modifying the general provisions applicable to securities depository institutions and stock exchanges

A seal with the National Coat of Arms appears at 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 Article 280, fraction I, subsection b) of the Securities Market 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 it is necessary to allow societies that administer electronic trading mechanisms for investment fund shares to use the services of securities depository institutions, with the objective that these first send operations with investment fund shares to the aforementioned institutions for subsequent settlement and thus facilitate transactions for the benefit of the market as a whole, has resolved to issue the following:

RESOLUTION MODIFYING THE GENERAL PROVISIONS APPLICABLE TO

SECURITIES DEPOSITORY INSTITUTIONS AND STOCK EXCHANGES

SOLE ARTICLE.- The name of the "General Provisions applicable to securities depository institutions and stock exchanges" is REFORMED to become "General Provisions applicable to securities depository institutions" and the name of Chapter III of Title Two is changed to become "On the characteristics of the entities, institutions and persons to whom securities depository institutions may provide their services" and Article 12 Bis is ADDED to the "General Provisions applicable to securities depository institutions and stock exchanges", published in the Official Gazette of the Federation on January 18, 2011 and modified by resolution published in said Gazette on March 16, 2011, to read as follows:

" Chapter III

On the characteristics of the entities, institutions and persons to whom securities depository institutions may provide their services

Article 12 Bis.- Securities depository institutions may provide the services of deposit, custody, administration, clearing, settlement and transfer of securities registered in the Registry to societies that administer electronic trading mechanisms for investment fund shares authorized by the Commission in accordance with the provisions of Article 40, fourth paragraph of the Investment Funds Law, provided that securities depository institutions only open accounts in favor of said societies on behalf of third parties. "

TRANSITORY

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

Respectfully,

Mexico, D.F., December 10, 2015.- The President of the National Banking and Securities Commission, Jaime González Aguadé.- Signature.

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