Resolution modifying the General Provisions applicable to securities issuers and other participants in the securities market — SHCP — MX

DOF: 07/02/2024

RESOLUTION modifying the General Provisions applicable to securities issuers and other participants in the securities market

A seal with the National Coat of Arms appears at the margin, which reads: United Mexican States.- TREASURY.- Ministry of Finance and Public Credit.- National Banking and Securities Commission.

The National Banking and Securities Commission, based on Articles 1, fraction I; 85, fraction VII;

90; 91; 92 and 282 of the Securities Market Law; 98 Bis of the Credit Institutions Law,

as well as 4,

fractions XXXVI and XXXVIII, as well as 16, fraction I of the National Banking and Securities Commission Law,

and

CONSIDERING

That Article 282 of the Securities Market Law establishes that securities deposited in securities depository institutions may be represented in multiple certificates or in a single certificate covering part or all of the securities subject to the issuance and deposit, and may be issued electronically in the form of a data message with advanced electronic signature in accordance with what is established in the Commerce Code and in conformity with the general provisions issued by the Bank of Mexico, which is Circular 36/2020 "Electronic issuance of certificates representing securities deposited in securities depository institutions";

That, derived from the above and with the purpose of providing greater agility to the way issuers present the application and documentation required for the registration of the securities they intend to issue, in the National Securities Registry, so that their physical presentation is not necessary, if signed with an advanced electronic signature, and

That with the purpose of flexing the requirements that fiduciary certificates, debt instruments and optional titles must meet to obtain their registration in the National Securities Registry, it is proposed that said titles have the signature of the common representative either in autograph form, as established by current regulations, or electronically, through advanced electronic signature, has resolved to issue the

following:

RESOLUTION MODIFYING THE GENERAL PROVISIONS APPLICABLE TO

SECURITIES ISSUERS AND OTHER PARTICIPANTS IN THE SECURITIES MARKET

SOLE.-

Articles 21 and 67 are REFORMED, and

ANNEX R of the "General Provisions applicable to securities issuers and other participants in the securities market" is SUBSTITUTED,

published in the Official Gazette of the Federation on March 19, 2003, and last reformed by the resolution published in said dissemination organ on August 15, 2022, to read as follows:

" Article 21 .- Applications for registration and provisional registration under any of its 3

modalities, update of registration, note taking, cancellation and, if applicable, approval of public offer for acquisition or disposal of securities and notifications of offers abroad referred to in this Title, as well as dissemination of information for purposes of promotion, marketing or advertising on securities and the documentation and information accompanying said applications,

shall be presented to the Commission electronically, through the STIV, in the form and terms established in

Annex R of these provisions. Regarding shares; credit instruments representing them;

fiduciary development, real estate, indexed, energy and infrastructure investment or investment project certificates; optional titles and debt instruments that must be issued based on an issuance minutes, a copy of the application and of the

documentation and information indicated must additionally be presented.

. . .

The Issuer must send through the STIV, in accordance with the rules established for this purpose in Annex R, the

application, its extensions and that information annexed to them and must be signed in autograph form or

by means of advanced electronic signature in accordance with the Commerce Code and verifiable by the Commission.

The Issuer must present the aforementioned documentation, the subsequent versions of prospectuses,

supplements, information brochures, offer notices or other documentation related to the procedure, which

contain autograph signatures, in physical form, on paper, in original and in a single copy, in which case it must

correspond entirely with the documentation sent through the STIV, no later than the business day before

the date on which the corresponding authorization is to be obtained. "

" Article 67.- The certificates representing the securities referred to in Article 65, first paragraph

of these provisions, must contain the autograph signature of the designated common representative, with

the mention that he possesses such character. When it comes to certificates issued electronically in accordance with

Article 282 of the Securities Market Law, the advanced electronic signature must be used. "

TRANSITIONAL

SOLE.-

This Resolution will enter into force the day following its publication in the Official Gazette

of the Federation.

Respectfully

Mexico City, January 30, 2024. - President of the National Banking and Securities Commission, Dr.

Jesús de la Fuente Rodríguez.- Rubric.

" ANNEX R

Rules of Operation, use of Electronic Keys and Passwords of the Securities Information Transfer System STIV '

First.- These rules aim to establish the procedure to be followed for the

presentation, by electronic means, of applications for registration and provisional registration under

any of its 3 modalities, of update of registration, of note taking, of cancellation and, in

case, of approval of public offer for acquisition or disposal of securities and, of notifications of

public offers abroad (the applications), referred to in Title Two of the General Provisions

applicable to securities issuers and other participants in the securities market

( " the

Provisions " ), as well as dissemination of information for purposes of promotion, marketing or advertising

on securities.

Second.- Issuers must send to the Commission the applications and the annexed documentation that is

required, in accordance with the Provisions, through the Commission's Internet page http:// www.cnbv.gob.mx through the Securities Information Transfer System " STIV " . The

documents must be sent on a single occasion and their content is the exclusive responsibility of the sender, so that once sent they cannot be modified or replaced.

Third.- Applications may be sent at any time and day including weekends; however,

the Commission will consider them presented only on business days and hours, so those that are

received outside said schedule will be understood as presented on the next business day. Likewise, once

the information is sent, the system will generate a receipt which will specify the date and time of

receipt.

Fourth.- To send applications through the STIV, a user key and

electronic password must be obtained previously in accordance with the procedure established in the " User Manual " which is located on

the CNBV Internet page. The Commission may require additional information to verify the identity

of the person requesting the aforementioned key and password.

Fifth.- Applications for key and password may be made at any time and day including weekends;

however, the Commission will resolve only on business days and hours. The term to grant the

STIV user password or, if applicable, request additional information, will be no later than the next business

day after its receipt. The electronic keys and passwords will be notified to the user via email.

They will be obtained only once and will be used for the presentation of any application referred to in

Rule First.

Sixth.- The use of user keys and access passwords to the STIV will be the exclusive responsibility of

the user. This is without prejudice to the fact that other users may use them with their consent. Any

application submitted through the key and password of a user will be considered made by the registered user.

Seventh.- The Commission will proceed to study and process the applications when the user has applied

correctly the procedure established in these rules and in the " User Manual " . The

documents sent electronically will be considered authentic unless proof to the contrary is provided.

Eighth.- In case of modification of the data provided to request the key and password, the

user will be obliged to update said data in accordance with what is established in the " User Manual "

, leaving the Commission empowered to cancel the key and password in case the information is

incorrect or does not correspond to reality.

Ninth.- For the presentation of an application, the type

of issuer, application and security must be selected in the corresponding menu, using the user key and password referred to in Rule Second,

in accordance with what is stated in the " User Manual " , for which purpose a procedure number and a

password will be provided, with which the documents required by the Provisions for each

application will be identified. The procedure number and password must be kept by the representative or the authorized person,

until such time as the Commission resolves on said procedure, in order to be able to continue with the sending

of complementary information required by this Commission.

Tenth.- Once the filling out of the documents is completed and the mailbox is closed by the user for its

sending to the Commission, in accordance with what is established in the " User Manual " , no further sends

can be made for that same procedure, until such time as a response is received from the Commission. The

above will not be applicable in duly justified cases where the Commission authorizes it.

Eleventh.- In case of system failure, force majeure or unforeseeable event, access to the STIV is not available,

or exceptionally in duly justified circumstances at the discretion of the Commission, the

presentation of the application and its annexed documentation may be carried out through the official office of the

Commission, on paper and addressed to the General Directorate of issuers of said Commission

Twelfth.- For the purposes of what is provided in Article 22 of the Provisions, the Commission may give access to the exchange to the application and other documentation sent through the STIV.

In cases where confidential treatment of said information is required in accordance with

the fifth paragraph of Article 21 of these Provisions, the Commission may close access to the exchange, in order to

maintain such confidentiality.

Thirteenth.- The Commission will publish no later than the next business day after its presentation, the

applications and annexed documentation on its Internet page, except in those cases where confidential treatment is required,

in accordance with the fifth paragraph of Article 21 of these Provisions.

Fourteenth.- The content of the electronic documents must correspond to the description of the document included, in accordance with the aforementioned " User Manual " . "

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