Resolution modifying the general provisions applicable to securities issuers and other participants in the securities market — SHCP — MX

DOF: 25/11/2019

RESOLUTION modifying the general provisions applicable to securities issuers and other participants in the securities market

At the margin, a seal with the National Coat of Arms, which reads: United Mexican States.- GOVERNMENT OF MEXICO.-

TREASURY.- Ministry of Finance and Public Credit.- National Banking and Securities Commission.

The National Banking and Securities Commission, based on the provisions of articles 2, fraction VII of the Securities Market Law, as well as 4, fractions XXXVI and XXXVIII and 16, fraction I of the National Banking and Securities Commission Law, and

CONSIDERING

That, in order to flexibilize the regulatory framework establishing the procedure for issuers to cancel the listing of any or all of their securities on a stock exchange to list them on another, it is deemed convenient to make adjustments to the requirements that such issuers must observe, considering for this purpose their governance structures and the best conditions existing in the stock market, so that, in the interest of equal conditions and legal certainty for investors, it has resolved to issue the following:

RESOLUTION MODIFYING THE GENERAL PROVISIONS APPLICABLE TO SECURITIES ISSUERS AND OTHER PARTICIPANTS IN THE SECURITIES MARKET

SOLE ARTICLE. Article 15 Bis 1, fraction I of the "General Provisions applicable to securities issuers and other participants in the securities market", published in the Official Gazette of the Federation on October 7, 2003, and modified through Resolutions published in said dissemination medium on September 6, 2004; September 22, 2006; September 19, 2008; January 27, July 22 and December 29, 2009; December 10 and 20, 2010; March 16, July 27, August 31 and December 28, 2011; February 16 and October 12, 2012; April 30 and July 15, 2013; January 30, June 17, September 24 and December 26, 2014; January 12 and 30, March 26, May 13, August 27, September 28, October 20 and December 31, 2015; May 6, October 19 and November 15, 2016; August 11, 2017; April 26 and June 13, 2018, and August 9, 2019, shall be REFORMED, to read as follows:

" Article 15 Bis 1.-

...

Have the prior approval, as appropriate:

From the general director or equivalent who exercises those powers, unless their corporate bylaws provide that it corresponds to their board of directors.

From the technical committee of the trust in question or, in case of not having such a committee, from the settlor or the administrator of the trust assets.

From the public servant of the federal administration, of the federal entity or of the municipality, authorized to contract loans or to sign credit instruments or securities representing these, unless, in accordance with the internal regulations or applicable legislation, it is provided that such power corresponds to another administrative instance, to the local legislature or to the town council, as applicable.

II. to V.

...

... "

TRANSITORY

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

Respectfully

Mexico City, November 14, 2019. - The President of the National Banking and Securities Commission, Adalberto Palma Gómez. - Signature.

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