Resolution reforming official formats for reporting the designation of the compliance officer, the integration of the Communication and Control Committee, and reporting relevant, unusual, and internal concerning operations

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DOF: 22/04/2021

RESOLUTION reforming the official formats to report the designation of the compliance officer, the integration of the Communication and Control Committee, and to report relevant, unusual, and internal concerning operations, in terms of

At the margin, a seal with the National Coat of Arms, which says: United Mexican States.- TREASURY.- Ministry of

Treasury and Public Credit.- Financial Intelligence Unit.- Mexico.

DR. SANTIAGO NIETO CASTILLO, Head of the Financial Intelligence Unit of the Ministry of

Treasury and Public Credit, in accordance with the provisions of articles 4 of the Federal Administrative Procedure Law, 14 and 15 paragraphs I, II and III of the Federal Law for the Prevention and Identification of Operations with Resources of Illicit Origin, based on article 58 of the Law to regulate

Financial Technology Institutions; as well as in articles 48, 53, 66, 69, 75 and Third Transitory

of the General Provisions referred to in article 58 of the Law to regulate Financial Technology Institutions, applicable to Financial Technology Institutions, published in the Official Gazette of the Federation on September 10, 2018; and in exercise of the power conferred upon me by paragraph IV of article 15, in relation to article 4, second paragraph of the Internal Regulations of the Ministry of

Treasury and Public Credit, and

CONSIDERING

That in accordance with articles 14 and 15 of the Federal Law for the Prevention and Identification of

Operations with Resources of Illicit Origin, the acts, operations, and services performed by

financial entities in accordance with the laws applicable to each of them, are considered

Vulnerable Activities in terms of the aforementioned Law, so measures and

procedures must be established to prevent and detect acts, omissions, or operations that could be located in the

scenarios provided for in Chapter Two of Title Twenty-Third of the Federal Penal Code, as well as

to identify their clients and users in accordance with article 58 of the Law to Regulate the

Financial Technology Institutions;

That in this sense, on September 10, 2018, the Ministry of Treasury and Public Credit published in the

Official Gazette of the Federation the General Provisions referred to in article 58 of the Law

of Financial Technology Institutions (FTI) with the objective of establishing the regulatory framework in matters of

prevention of operations with resources of illicit origin and financing of terrorism, in order to

establish the minimum measures and procedures that FTIs, as well as those legal persons

constituted in accordance with Mexican commercial legislation, other than FTIs, to Financial

Entities and other subjects supervised by a Supervisory Commission or by the Bank of Mexico, to

which Novel Models are authorized, must observe to avoid being used as vehicles for the

commission of said offenses, as well as to prevent the improper use of the financial system through the

new services and products that technological innovations offer to the general public;

That as a result of the above, financial entities have, among other obligations, the duty to remit to the

Ministry of Treasury and Public Credit, through the National Banking and Securities Commission, reports

on operations that are considered relevant, internal concerning, and unusual,

through the means indicated by the Ministry;

That in this vein, the Financial Intelligence Unit, in exercise of its powers conferred by

article 15, paragraph IV of the Internal Regulations of the Ministry of Treasury and Public Credit issued, in

coordination with the National Banking and Securities Commission the "Resolution by which the

official formats are issued to report the designation of the compliance officer, the integration of the committee of

communication and control and to report relevant, unusual, and internal concerning operations, in

terms of articles 48, 53, 66, 69 and 75 of the General Provisions referred to in

article 58 of the Law to regulate Financial Technology Institutions", through which it establishes the

means and form to remit the corresponding reports;

That, in this context, it is necessary to make the pertinent adjustments to the previously referred official format,

with the objective that FTIs are able to comply with their obligations in matters of prevention of

operations with resources of illicit origin and financing of terrorism;

That, in terms of what is provided in articles 12, third paragraph, 13, 17 and 30 of the Regulations of the Law

for the Prevention and Identification of Operations with Resources of Illicit Origin, the submission of

information must be carried out in accordance with what is established in the means and official formats for such effect issued by the Financial Intelligence Unit, through its publication in the Official Gazette of the Federation.

That, once the opinion of the National Banking and Securities Commission has been heard, issued through

Office number DGPORPIA/18446/2021 dated March 2, 2021, the following is issued:

RESOLUTION BY WHICH THE OFFICIAL FORMATS ARE REFORMED TO REPORT THE DESIGNATION

OF THE COMPLIANCE OFFICER, THE INTEGRATION OF THE COMMUNICATION AND CONTROL COMMITTEE AND FOR

REPORTING RELEVANT, UNUSUAL AND INTERNAL CONCERNING OPERATIONS, IN TERMS OF THE

ARTICLES 48, 53, 66, 69 AND 75 OF THE GENERAL PROVISIONS REFERRED TO IN

ARTICLE 58 OF THE LAW TO REGULATE FINANCIAL TECHNOLOGY INSTITUTIONS, AND TO MAKE

KNOWN THE ELECTRONIC MEANS FOR THE SUBMISSION OF SAID FORMATS.

SINGLE ARTICLE.- The length of NO. 1.3 "Key of the obligated subject" located in the tables

of Annexes A, B, and C is modified, to read as follows:

ANNEX "A"

NO.

NAME OF THE

FIELD

XML TAG

MANDATORINESS

DATA TYPE

LENGTH

FORMAT

1.3

Key of the obligated

subject

<clave_sujeto>

Mandatory

Alphanumeric

6

Pattern: 99-

999

ANNEX "B"

NO.

NAME OF THE

FIELD

XML TAG

MANDATORINESS

DATA TYPE

LENGTH

FORMAT

1.3

Key of the obligated

subject

<clave_sujeto>

Mandatory

Alphanumeric

6

Pattern: 99-

999

ANNEX "C"

NO.

NAME OF THE

FIELD

XML TAG

MANDATORINESS

DATA TYPE

LENGTH

FORMAT

1.3

Key of the obligated

subject

<clave_sujeto>

Mandatory

Alphanumeric

6

Pattern: 99-

999

TRANSITORIES

SINGLE.- This Resolution shall enter into force the day after its publication in the Official Gazette

of the Federation.

Mexico City, March 31, 2021.- The Head of the Financial Intelligence Unit of the

Ministry of Treasury and Public Credit, Santiago Nieto Castillo.- Signature.

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