Resolution modifying the general provisions applicable to the use of the Electronic Authorization System for the organization, operation and functioning of entities

DOF: 15/04/2019

RESOLUTION modifying the general provisions applicable to the use of the Electronic Authorization System for the organization, operation and functioning of entities

At the margin, a seal with the National Coat of Arms, which says: United Mexican States.- SHCP.- Ministry of Finance and Public Credit.- National Banking and Securities Commission.

The National Banking and Securities Commission, based on Articles 4, fractions XXXVI and XXXVIII, and 16, fraction I of the National Banking and Securities Commission Law; 110 Bis 2, 110 Bis 3, and 110 Bis 11 of the Credit Institutions Law; 399, 400, and 408 of the Securities Market Law; 87 Bis 2, 87 Bis 3, and 87 Bis 11 of the Investment Funds Law; 120, 121, and 129 of the Law Regulating the Activities of Savings and Loan Cooperative Societies; 133, 134, and 142 of the Credit Unions Law; 146, 147, and 155 of the Popular Savings and Credit Law; 134, 135, and 142 of the Law Regulating Financial Technology Institutions, and

CONSIDERING

That in order to streamline the authorization processes carried out before the National Banking and Securities Commission for the organization, operation, and functioning of those entities specified by the laws, a technological tool was designed to allow secure information exchange while promoting the proper integration of files, whose use was regulated through the General Provisions applicable to the use of the System for the organization, operation, and functioning of entities, published in the Official Gazette of the Federation on April 12, 2018, and

That the system has been modified to allow the processing of various authorization requests that fall under the competence of the National Banking and Securities Commission, other than those mentioned in the previous paragraph, it has resolved to issue the following:

RESOLUTION MODIFYING THE GENERAL PROVISIONS APPLICABLE TO THE USE OF THE ELECTRONIC AUTHORIZATION SYSTEM FOR THE ORGANIZATION, OPERATION AND FUNCTIONING OF ENTITIES

SINGLE.- The title, as well as Articles 1; 2, fractions III, IV, and V; 3, and 6, fraction II, are REFORMED, and Annex 1 of the General Provisions applicable to the use of the electronic authorization system for the organization, operation, and functioning of entities, published in the Official Gazette of the Federation on April 12, 2018, is SUBSTITUTED, to read as follows:

" GENERAL PROVISIONS APPLICABLE TO THE USE OF THE ELECTRONIC AUTHORIZATION SYSTEM FOR THE ORGANIZATION, OPERATION AND FUNCTIONING OF ENTITIES, AS WELL AS

OF THE OTHER AUTHORIZATIONS THAT FALL UNDER THE COMPETENCE OF THE NATIONAL BANKING AND SECURITIES COMMISSION "

" Article 1. - These provisions aim to establish and regulate the use and functioning of the Electronic Authorization System, through which the necessary documentation and information can be presented within the authorization processes for the organization, operation, and functioning of those entities specified by the laws, as well as for the other authorizations that, in accordance with the laws, fall under the competence of the Commission.

Article 2.-

. . .

I. and II.

. . .

III.

Guides: the guides for authorization requests that constitute a support tool for interested parties seeking any of the authorizations that fall under the competence of the Commission, prepared by this body and available to the general public on the website https://www.gob.mx/cnbv/

IV.

Applicant: the person who, through the Electronic System, opts to present before the Commission an authorization request that falls under its competence in accordance with the laws. Federations and the Auxiliary Supervision Committee of the Auxiliary Supervision Fund for Savings and Loan Cooperative Societies and Protection of their Savers, which present requests before the Commission regarding popular financial societies, savings and loan cooperative societies, and community financial societies in terms of the applicable laws, will be included in this definition.

V.

Electronic System: the electronic authorization system for the organization, operation, and functioning of entities, as well as for the other authorizations that fall under the competence of the Commission in accordance with the laws.

Article 3.- The Electronic System is the computer tool and communication channel available to Applicants, instrumented and administered by the Commission, through which authorization requests for the organization, operation, and functioning of new Entities; authorization for savings and loan cooperative societies and community financial societies to continue carrying out their operations with a level other than basic; other authorizations that fall under the competence of the Commission; as well as for the delivery and receipt of information and documentation subject to said requests, can be presented and processed electronically.

Authorization requests processed through the Electronic System must be presented in the form, terms, and with the documentation required by financial laws and the general provisions issued by the Commission, depending on the type of Entity involved or the authorization subject to the corresponding procedure. "

" Article 6.-

. . .

. . .

. . .

I.

. . .

II.

The agreement to present and process authorization requests through the Electronic System, accepting its use and adherence to the instructions of the system itself.

III. to VII.

. . .

. . .

. . . "

TRANSITORY

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

Sincerely

Mexico City, April 5, 2019.- The President of the National Banking and Securities Commission, Adalberto Palma Gómez.- Rubric.

ANNEX 1

USER AND PASSWORD REQUEST FORM FOR THE USE OF THE

ELECTRONIC AUTHORIZATION SYSTEM FOR THE ORGANIZATION,

OPERATION AND

FUNCTIONING OF ENTITIES

A.

AFFIDAVIT FOR INDIVIDUALS

Mexico City, (date of signing)

NATIONAL BANKING AND SECURITIES COMMISSION

PRESENT

The undersigned, (name of the person signing), by my own right [or through my attorney (name of the attorney)], declare under oath and with the object of providing the information necessary to obtain the username and password required for the use of the Electronic System, the following:

I.

At this time, I request that the National Banking and Securities Commission grant me a username and password to enter and use the Electronic System.

II.

Full agreement to present and process the authorization request for [object of the authorization] through the Electronic System, in accordance with the instructions established by the system itself.

III.

Express agreement and acceptance on my part [represented] to receive notifications related to the authorization request by electronic means, with receipt acknowledgment, through the Electronic System.

IV.

That the use of the username and password to access the Electronic System will be the exclusive responsibility of the user. This is without prejudice to the fact that other users may use them with my consent, so any action taken through the Electronic System will be attributable to the undersigned [to my represented party], producing the same legal effects as an autograph signature.

V.

Knowledge of the privacy notice, contained on the website https://www.gob.mx/privacidad-integral

Finally, in order for the National Banking and Securities Commission to notify [notify my represented party] the username and password to access the Electronic System, I indicate the following email address (include email address).

(name and signature of the person signing)

I SWEAR TO WHAT IS NECESSARY

B.

AFFIDAVIT FOR LEGAL ENTITIES

Mexico City, (date of signing)

NATIONAL BANKING AND SECURITIES COMMISSION

PRESENT

(Name or corporate name of the legal entity), through its representative (name of the legal representative or attorney), personality accredited by the public instrument (data of the deed), declares under oath and with the object of providing the information necessary to obtain the username and password required for the use of the Electronic System, the following:

I.

At this time, I request that the National Banking and Securities Commission grant me a username and password to enter and use the Electronic System on behalf and in representation of

(name or corporate name of the legal entity).

II.

Full agreement of my represented party to present and process the authorization request for [object of the authorization] [to organize, operate, and function as (type of Entity)] [for the savings and loan cooperative society (name) or the community financial society (name) to continue carrying out its operations with a level other than basic], through the Electronic System, in accordance with the instructions established by the system itself.

Full agreement to present and process the respective authorization request through the Electronic System, in accordance with the instructions established by the system itself.

III.

Express agreement and acceptance of my represented party to receive notifications related to the authorization request by electronic means, with receipt acknowledgment, through the Electronic System.

IV.

That the use of the username and password to access the Electronic System will be the exclusive responsibility of the user. This is without prejudice to the fact that other users may use them with the consent of my represented party, so any action taken through the Electronic System will be attributable to the user, producing the same legal effects as an autograph signature.

V.

Knowledge of the privacy notice, contained on the website https://www.gob.mx/privacidad-integral

Finally, in order for the National Banking and Securities Commission to notify my represented party of the username and password assigned to access the Electronic System, I indicate the following email address (include email address).

Rubric.

(name and signature of the person signing)

I SWEAR TO WHAT IS NECESSARY

Filling Instructions:

Provide the information indicated in parentheses and brackets according to the type of authorization to be requested.

Attach the following documentation:

A. Individuals:

a)

Copy of the birth certificate. In the case of foreigners, present the equivalent document in their country of origin.

b)

Copy of the valid official identification with photograph.

For the purposes of this subsection, the following documents issued by Mexican authorities will be considered valid personal identification: the voter credential, the passport, the professional ID, the National Military Service card, the consular registration certificate, the military identity card, the affiliation card to the National Institute of Older Adults, the credentials and badges issued by the Mexican Social Security Institute, the driver's license, the credentials issued by federal, state, and municipal authorities, the identity certificates issued by municipal authorities, and the other identifications that, in their case, are approved by the Commission. Likewise, regarding individuals of foreign nationality, in addition to those previously referred to in this paragraph, the passport or the documentation issued by the National Institute of Migration that accredits their migratory status will be considered valid personal identification documents.

c)

Copy of the tax identification card of the individual and of their attorney, if applicable.

In the case of foreigners, present the equivalent document in their country of origin.

d)

In their case, copy of the Unique Population Registry Key of the individual and of their attorney.

B. Legal Entities:

a)

Certified copy of the public instrument by virtue of which the legal representative or attorney accredits their personality.

b)

Copy of the tax identification card, of the legal representative or attorney. In the case of foreigners, present the equivalent document in their country of origin.

c)

Copy of the Unique Population Registry Key of the legal representative or attorney.

d)

Copy of a valid official identification with photograph of the legal representative or attorney.

For the purposes of this subsection, the following documents issued by Mexican authorities will be considered valid personal identification: the voter credential, the passport, the professional ID, the National Military Service card, the consular registration certificate, the military identity card, the affiliation card to the National Institute of Older Adults, the credentials and badges issued by the Mexican Social Security Institute, the driver's license, the credentials issued by federal, state, and municipal authorities, the identity certificates issued by municipal authorities, and the other identifications that, in their case, are approved by the Commission. Likewise, regarding individuals of foreign nationality, in addition to those previously referred to in this paragraph, the passport or the documentation issued by the National Institute of Migration that accredits their migratory status will be considered valid personal identification documents.

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