RegAlertRule · SHCP · 30 Dec 2024 · DOF 5746327
Resolution modifying the General Provisions applicable to securities issuers and other participants in the securities market
The National Banking and Securities Commission amends Articles 25 and 33, and Annexes H Bis and N Bis of the General Provisions applicable to securities issuers and other market participants to align with the December 2023 reform to the Securities Market Law. The resolution specifically derogates certain numerical sub-sections and lettered clauses within these articles and annexes, particularly regarding annual information requirements and prospectus preparation instructions for Bursatile Promoter Anonymous Societies. These changes aim to eliminate entry barriers for these specific entities in the stock market. The Resolution enters into force the day following its publication in the Official Gazette of the Federation on December 30, 2024.
DOF: 30/12/2024
RESOLUTION modifying the General Provisions applicable to securities issuers and other participants in the securities market
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, is placed at the margin.
The National Banking and Securities Commission, based on the provisions of Articles 21, second paragraph, and 104, first paragraph, fraction III, and fifth paragraph of the Securities Market Law; Article 98 Bis of the Credit Institutions 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, as a result of the reform to the Securities Market Law published in the Official Gazette of the Federation on December 28, 2023, one of the objectives was to eliminate entry barriers to the stock market for Bursatile Promoter Anonymous Societies (Sociedades Anónimas Promotoras de Inversión Bursátil), it is necessary to make adjustments to the General Provisions applicable to securities issuers and other participants in the securities market, in order to align them with the changes to the aforementioned Law, has resolved to issue the following:
RESOLUTION MODIFYING THE GENERAL PROVISIONS APPLICABLE TO SECURITIES ISSUERS AND OTHER PARTICIPANTS IN THE SECURITIES MARKET
SINGLE.- The articles 25, fraction II, and 33, fraction I, letter a), numeral 1, first paragraph; as well as Annex H Bis, fraction IV, letter C), second paragraph, numeral 5), letter a); and Annex N Bis, fraction II, letter C), second paragraph, numeral 4), letter a); are REFORMED; and the following are DEROGATED from article 33, fraction I, letter b), numeral 3; from Annex H Bis, fraction IV, letter B), first paragraph, numeral 3), letter c); as well as from letter C), second paragraph, numeral 3), letter c); and from Annex N Bis, fraction II, letter B), first paragraph, numeral 2), letter c); as well as from letter C), second paragraph, numeral 2), letter c) of the "General Provisions applicable to securities issuers and other participants in the securities market", published in the Official Gazette of the Federation on March 19, 2003 and modified by resolutions published in the aforementioned medium of dissemination, to read as follows:
" Article 25.-
...
I.
...
II. Financial situation of the issuer.
III. to IX.
...
... "
" Article 33.-
...
I. Annual information:
a)
...
- Reports and opinions mentioned in Article 28, fraction IV of the Securities Market Law, in the case of bursatile anonymous societies and bursatile promoter anonymous societies that have adopted the regime provided for in Article 15 of the aforementioned Law.
...
...
- to 5.
...
b)
...
- and 2.
...
- Derogated.
II. and III.
...
...
... "
" ANNEX H BIS
Instructions for the preparation of placement prospectuses and information brochures applicable to bursatile promoter anonymous societies
I. to III.
...
IV.
...
A)
...
B)
...
...
1) and 2)
...
3)
...
a)
...
b)
...
c) Derogated.
4) to 7)
...
...
...
C)
...
...
...
...
...
1) to 2)
...
3)
...
a)
...
b)
...
c) Derogated.
4)
...
5)
...
a) External Auditors
See Annex N, fraction II, letter C), numeral 4), letter a) of these provisions.
Additionally, disclose what is stated in Article 7, second paragraph of the General Provisions applicable to entities and issuers supervised by the National Banking and Securities Commission that hire external audit services for basic financial statements.
b) to d)
...
6) to 7)
... "
" ANNEX N BIS
Instructions for the preparation of the annual report applicable to bursatile promoter anonymous societies
I.
...
II.
...
A)
...
B)
...
...
1)
...
2)
...
a) ...
b) ...
c) Derogated.
3) to 7)
...
C)
...
...
...
...
...
...
...
...
1)
...
2)
...
a)
...
b)
...
c) Derogated.
3)
...
4)
...
a) External Auditors
See Annex N, fraction II, letter C), numeral 4), letter a) of these provisions.
Additionally, disclose what is stated in Article 7, second paragraph of the General Provisions applicable to entities and issuers supervised by the National Banking and Securities Commission that hire external audit services for basic financial statements.
b) to d) ...
5) to 7)
... "
TRANSITORY
SINGLE.- This Resolution shall enter into force the day following its publication in the Official Gazette of the Federation.
Respectfully,
Mexico City, December 20, 2024.- President of the National Banking and Securities Commission,
Dr. Jesús de la Fuente Rodríguez.- Rubric.
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“are REFORMED; and the following are DEROGATED from article 33, fraction I, letter b), numeral 3; from Annex H Bis, fraction IV, letter B), first paragraph, numeral 3), letter c); as well as from letter C), second paragraph, numeral 3), let…”
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