RESOLUTION that modifies the General Provisions applicable to credit institutions — SHCP — MX

DOF: 06/10/2017

RESOLUTION that modifies the General Provisions applicable to credit institutions

On the margin a seal with the National Shield, which reads: United Mexican States.- Ministry of Finance and Public Credit.- National Banking and Securities Commission.

The National Banking and Securities Commission, by prior agreement of its Governing Board and based on the provisions of article 10, sections II, III and VI, 17, second and last paragraphs of the Credit Institutions Law, as well as 4, sections XXXVI and XXXVIII and 16, section I of the National Banking and Securities Commission Law, and

CONSIDERING

That in order for the National Banking and Securities Commission to have the best available information to verify the honorability and credit history of potential shareholders, directors and other relevant executives of multiple banking institutions, in consistency with what is required in the Credit Institutions Law, it is necessary to specify the information that will be required for these purposes, which will allow for solid multiple banking institutions administered under the best quality standards;

That additionally, in terms of the current provisions, individuals intending to participate in the share capital of a multiple banking institution must present two credit information reports; the first of them, for the documentation accompanying the corresponding application, and the second as an annex to the affidavit regarding their honorability, for which reason the presentation of the report in the first case is eliminated and likewise, in the case of individuals proposed to occupy the positions of director, general director or officer within the two immediate preceding hierarchies to that of the latter, as well as commissioners of these financial entities, the presentation of the letter of no criminal record and the report of registry data on two occasions is eliminated, which will result in the simplification of the corresponding procedure, and

That it is considered convenient that individuals intending to constitute and operate as multiple banking institutions, accompany the corresponding authorization application with the valid certification that the compliance officer to be designated as such in terms of the National Banking and Securities Commission Law must have, in order to contribute to the prevention, detection and reporting of acts, omissions or operations that could fall within the scope of articles 139 Quáter or 400 Bis of the Federal Criminal Code, has resolved to issue the following:

RESOLUTION THAT MODIFIES THE GENERAL PROVISIONS APPLICABLE TO CREDIT INSTITUTIONS

SOLE ARTICLE.- Article 337 Bis 1 is ADDED and Annexes 53, 54, 55 and 56 of the "General Provisions applicable to credit institutions", published in the Official Gazette of the Federation on December 2, 2005 and modified by Resolutions published in said dissemination body on March 3 and 28, September 15, December 6 and 8, 2006; January 12, March 23, April 26 and November 5, 2007; March 10, August 22, September 19, October 14 and December 4, 2008; April 27, May 28, June 11, August 12, October 16, November 9, as well as December 1 and 24, 2009; January 27, February 10, April 9 and 15, May 17, June 28, July 29, August 19, September 9 and 28, October 25, November 26 and December 20, 2010; January 24 and 27, March 4, April 21, July 5, August 3 and 12, September 30, October 5 and 27, and December 28, 2011; June 19, July 5, October 23, November 28 and December 13, 2012; January 31, April 16, May 3, June 3 and 24, July 12, October 2 and December 24, 2013; January 7 and 31, March 26, May 12 and 19, July 3 and 31, September 24, October 30, as well as December 8 and 31, 2014; January 9, February 5, April 30, May 27, June 23, August 27, September 21, October 29, November 9 and 13, as well as December 16 and 31, 2015; April 7 and 28, June 22, July 7 and 29, August 1, September 19 and 28 and December 27, 2016; January 6, April 4 and 27, May 31, June 26, July 4 and 24; and August 29, 2017, to read as follows:

"TITLES FIRST to FIFTH

. . .

Annexes 1 to 52

. . .

Annex 53

Information format for individuals intending to participate in the share capital of a multiple banking institution, individuals intending to constitute themselves as creditors with a guarantee regarding the paid-in share capital of a multiple banking institution and individuals intending to obtain control of a multiple banking institution.

Annex 54

Affidavit formats for individuals intending to participate in the share capital of a multiple banking institution, individuals intending to constitute themselves as creditors with a guarantee regarding the paid-in share capital of a multiple banking institution and individuals intending to obtain control of a multiple banking institution.

Annex 55

Curriculum vitae format for individuals proposed to occupy the positions of director, general director or officer within the two immediate lower hierarchies to that of the general director and commissioner of multiple banking institutions.

Annex 56

Affidavit formats for individuals proposed to occupy the positions of director, general director or officer within the two immediate lower hierarchies to that of the general director and commissioner of multiple banking institutions.

Annexes 57 to 70

. . ."

"Article 337 Bis 1.-

Individuals intending to obtain authorization to organize and operate as a multiple banking institution, in terms of what is indicated in article 10, section VI of the Law, must present a copy of the document issued by the Commission, which certifies the valid certification of the compliance officer who will be appointed by the multiple banking institution, obtained in terms of the "General Provisions for the certification of independent external auditors, compliance officers and other professionals in the prevention of operations with illicitly sourced resources and terrorism financing" published in the Official Gazette of the Federation on October 2, 2014 and their respective modifications."

TRANSITORY ARTICLES

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

SECOND.- Procedures initiated prior to the entry into force of this Resolution shall continue to be governed until their final resolution in accordance with the applicable provisions in force at their inception.

Sincerely,

Mexico City, September 15, 2017.- The President of the National Banking and Securities Commission, Jaime González Aguadé.- Signature.

ANNEX 53

INFORMATION FORMAT FOR INDIVIDUALS INTENDING TO PARTICIPATE IN THE SHARE CAPITAL OF A MULTIPLE BANKING INSTITUTION, INDIVIDUALS INTENDING TO CONSTITUTE THEMSELVES AS CREDITORS WITH A GUARANTEE REGARDING THE PAID-IN SHARE CAPITAL OF A MULTIPLE BANKING INSTITUTION AND INDIVIDUALS INTENDING TO OBTAIN CONTROL OF A MULTIPLE BANKING INSTITUTION

Name of the multiple banking institution.

Date of preparation. (dd/mm/yyyy)

This information is part of the application submitted to the National Banking and Securities Commission, its content is confidential and will be subject to review and verification.

Filling instructions.

This format must be filled out by:

Individuals who, within the application process for authorization to organize and operate multiple banking institutions in terms of what is indicated in Article 8 of the Law, intend to subscribe two percent or more of the share capital of the institution itself.

Individuals who intend to obtain authorization to acquire directly or indirectly more than five percent of "O" series shares representing the paid-in capital of a multiple banking institution.

Individuals who intend to obtain authorization to constitute themselves as creditors with a guarantee regarding more than five percent of "O" series shares representing the paid-in capital of a multiple banking institution.

Individuals or groups of individuals who intend to obtain control of a multiple banking institution, in terms of the provisions of Article 22 Bis, section II, of the Law.

No blank spaces should be left, in any case mention: None, No, I do not have, Not applicable.

All names and required data must be presented completely (e.g., individuals with two names).

SECTION 1

PERSONAL IDENTIFICATION DATA

NATURAL PERSONS

Name(s).

Paternal surname.

Maternal surname.

Nationality.

RFC (with homoclave).

CURP.

Address for hearing and receiving notifications

Street and exterior and/or interior number.

Neighborhood.

Borough or Municipality.

Federal Entity.

Postal code.

Country.

Marital status.

Name of spouse, common-law wife or husband, as well as their economic dependents.

Name of relatives in direct ascending and descending line up to the first degree.

IDENTIFICATION DATA

LEGAL ENTITIES, TRUSTS OR INVESTMENT VEHICLES

Name or corporate name.

Main activity.

Nationality.

RFC (with homoclave).

Date of incorporation.

Name of the legal representative.

Profession of the legal representative.

Employment history of the legal representative.

Address for hearing and receiving notifications

Street and exterior and/or interior number.

Neighborhood.

Postal code.

Borough or Municipality.

Federal Entity.

Country.

Name of shareholders or individuals who participate with 10% or more of the share capital of the legal entity, or of the assets of the trust or investment vehicle. 1

Shareholder (%)

1 / In the case of legal entities, trusts or other investment vehicles, the direct and indirect participations of natural persons in their capital must be related and broken down until the identification of the natural persons who are the ultimate beneficiaries of said participations.

According to its bylaws, can it invest in companies?

Yes

Has the investment in question been approved by its board of directors?

Yes

Does it have or has it had investments in financial entities?

Yes

Specify:

___ % shareholding.

Name: __________________________

SECTION 2

PARTICIPATION OF THE PERSON IN THE MULTIPLE BANKING INSTITUTION

Shareholder (if applicable).

___ % current shareholding.

___ % shareholding after acquisition.

___ % shareholding with which it would participate in the new entity.

Position (if applicable).

Chairman of the board of directors.

Proprietary director.

Independent:

Yes

Alternate director.

Independent:

Yes

Secretary of the board of directors.

General director.

Legal director.

Finance director.

Commercial director.

Other(s).

Specify: ____________________________________

SECTION 3

ASSET RELATIONSHIP

a) Assets and rights.

AMOUNT (thousands of pesos)

1.- REAL ESTATE OF THE APPLICANT, THEIR SPOUSE, COMMON-LAW WIFE OR HUSBAND, AS WELL AS THEIR ECONOMIC DEPENDENTS.

Total:

2.- MOVABLE ASSETS (INCLUDING MOTOR VEHICLES, AIRCRAFT AND BOATS) OF THE APPLICANT, THEIR SPOUSE, COMMON-LAW WIFE OR HUSBAND, AS WELL AS THEIR ECONOMIC DEPENDENTS.

Total:

3.- BALANCES IN BANK ACCOUNTS OF NATIONAL OR FOREIGN FINANCIAL ENTITIES (INCLUDING DEPOSITS AND DEBT SECURITIES).

Total:

4.- OTHERS, INCLUDING INVESTMENTS AND OTHER TYPES OF SECURITIES IN THE SHARE CAPITAL OF NATIONAL OR FOREIGN FINANCIAL ENTITIES OR FOR-PROFIT LEGAL ENTITIES.

4.1.- SPECIFY THE NAME OF THE FINANCIAL ENTITY OR LEGAL ENTITY:

4.2.- SPECIFY THE PERCENTAGE OF SHAREHOLDING: _______%

Total:

5.- SHAREHOLDING IN THE CAPITAL STOCK OF NATIONAL OR FOREIGN FINANCIAL ENTITIES OR LEGAL ENTITIES OF THE APPLICANT, THEIR SPOUSE, COMMON-LAW WIFE OR HUSBAND, AS WELL AS THEIR ECONOMIC DEPENDENTS AND RELATIVES BY CONSANGUINITY, AFFINITY OR CIVIL UP TO THE FIRST DEGREE.

Total

6.- SPONSORSHIPS, COURTESIES AND DONATIONS RECEIVED BY THE APPLICANT, THEIR SPOUSE, COMMON-LAW WIFE OR HUSBAND, AS WELL AS THEIR ECONOMIC DEPENDENTS AND RELATIVES BY CONSANGUINITY, AFFINITY OR CIVIL UP TO THE FIRST DEGREE.

Total

7.- TOTAL ASSETS AND RIGHTS (gross assets).

b) Debts and obligations.

8.- MORTGAGES, FINANCIAL OBLIGATIONS AND CREDITS OF THE APPLICANT, THEIR SPOUSE, COMMON-LAW WIFE OR HUSBAND, AS WELL AS THEIR ECONOMIC DEPENDENTS AND RELATIVES BY CONSANGUINITY, AFFINITY OR CIVIL UP TO THE FIRST DEGREE.

Total:

9.- OTHERS, INCLUDING ECONOMIC AND FINANCIAL INTERESTS.

Total:

10.- TOTAL DEBTS AND OBLIGATIONS.

11.- EQUITY (Subtract 7 minus 10).

12.- GUARANTEES AND ENDORSEMENTS GRANTED.

13.- INSURANCE POLICIES.

14.- TOTAL NET INCOME OF THE APPLICANT.

Amount (thousands of pesos)

Main source(s) of income

Last year 20_ _.

Penultimate year 20_ _.

Third to last year 20_ _.

15.- TOTAL NET INCOME OF THE APPLICANT'S SPOUSE, COMMON-LAW WIFE OR HUSBAND AND ECONOMIC DEPENDENTS.

Amount (thousands of pesos)

Main source(s) of income

Last year 20_ _.

Penultimate year 20_ _.

Third to last year 20_ _.

16.- COMMENTS AND CLARIFICATIONS.

SECTION 4

ORIGIN OF FUNDS 2

SOURCE

ENTITY OR PERSON

Exact amount to contribute to the share capital, share price or amount of the obligation for which the guarantee is received, as applicable (%)

Own funds. Specify:

N/A

Others. Specify: (indicate if they come from credits granted by national or foreign financial entities.

TOTAL FUNDS:

100 %

COMMENTS AND CLARIFICATIONS.

2 / In the case of those persons who constitute themselves as creditors with a guarantee on "O" series shares, representing more than five percent of the paid-in capital of a multiple banking institution, the origin of the funds subject to the guaranteed obligation must be indicated.

SECTION 5

INFORMATION ON POSITIONS OR ACTIVITIES (NATURAL PERSONS)

1.- POSITIONS AND OFFICES HELD IN PUBLIC OR PRIVATE ENTITIES BY THE APPLICANT, THEIR SPOUSE, COMMON-LAW WIFE OR HUSBAND, AS WELL AS THEIR ECONOMIC DEPENDENTS AND RELATIVES BY CONSANGUINITY, AFFINITY OR CIVIL UP TO THE FIRST DEGREE.

2.- PROFESSIONAL OR BUSINESS ACTIVITIES PERFORMED BY THE APPLICANT, THEIR SPOUSE, COMMON-LAW WIFE OR HUSBAND, AS WELL AS THEIR ECONOMIC DEPENDENTS AND RELATIVES BY CONSANGUINITY, AFFINITY OR CIVIL UP TO THE FIRST DEGREE.

3.- HONORARY POSITIONS AND OFFICES HELD BY THE APPLICANT.

4.- PARTICIPATION IN BOARDS AND PHILANTHROPIC ACTIVITIES OF THE APPLICANT, THEIR SPOUSE, COMMON-LAW WIFE OR HUSBAND, AS WELL AS THEIR ECONOMIC DEPENDENTS AND RELATIVES BY CONSANGUINITY, AFFINITY OR CIVIL UP TO THE FIRST DEGREE.

SECTION 6

ADDITIONAL INFORMATION

If you consider that there is any other relevant information not contemplated in the previous sections, you must list the information and comment in the following box.

Section.

Information.

SECTION 7

DECLARATIONS AND SIGNATURES

By this means, the undersigned authorizes the National Banking and Securities Commission, regarding the information provided herein, to:

Verify it as deemed appropriate, as well as to obtain from any other authority deemed convenient information about me, due to the authorization request submitted to that Commission.

Share it confidentially with the National Insurance and Sureties Commission, the National Commission for the Retirement Savings System, the Bank of Mexico, the Tax Administration Service, the Attorney General's Office and other authorities, for the exclusive fulfillment of their functions.

I confirm that I have read and filled out this form carefully, in such a way that I understand its content and legal implications.

I understand that providing false data will be grounds for exclusion of the undersigned, without prejudice to any legal penalties or sanctions that may apply.

I DECLARE UNDER OATH THAT THE DATA CONTAINED IN THIS DECLARATION IS TRUE

Signature of the person or legal representative

NAME

DATE

SECTION 8

DOCUMENTS TO BE ATTACHED TO THE APPLICATION

NATURAL PERSONS:

Copy of valid official identification (voter ID or valid passport and in the case of foreign nationals, migratory form or passport).

If applicable, copy of the tax identification card.

Copy of the Unique Population Registry Code (CURP).

Copy of the professional license or study certificate or the document that proves the highest degree of studies achieved.

Asset situation for the last three years.

Opinion prepared by legal entities that provide auditing or business investigation services of recognized prestige, in the judgment of the National Banking and Securities Commission, on the veracity of the statements regarding the origin of the resources that make up the person's assets, for which the respective documentary support must be available. Likewise, the authorization request must be accompanied by documentary evidence related to the aforementioned origin of the resources.

Copy of the contract for the provision of auditing or business investigation services that the applicant has entered into with the legal entity referred to in the previous numeral, which contains the terms and conditions agreed between the parties for the preparation of the opinion contained in the previous numeral, regarding which the National Banking and Securities Commission may require modifications.

Copy of the annual tax returns for the last three fiscal years.

LEGAL ENTITIES:

Certified copy of the current bylaws.

Copy of the tax identification card.

Copy authenticated by the sole administrator or by the secretary of the board of directors of the audited annual financial statements and the external auditor's opinion, if obliged to do so, approved by its administrative body for the last three fiscal years, or those corresponding according to its date of incorporation.

If applicable, copy authenticated by the secretary of the board of directors of the resolution of the administrative body approving the subscription and payment of the shares of the multiple banking institution to be incorporated or in which it intends to participate.

In the case of legal entities that are not obliged to audit their financial statements in terms of the applicable provisions, an opinion prepared by legal entities that provide auditing or business investigation services of recognized prestige, in the judgment of the National Banking and Securities Commission, on the veracity of the statements regarding the origin of the resources that make up the person's assets, for which the respective documentary support must be available. Likewise, the authorization request must be accompanied by documentary evidence related to the aforementioned origin of the resources.

Copy of the annual tax returns for the last three fiscal years.

ANNEX 54

AFFIDAVIT FORMATS FOR INDIVIDUALS INTENDING TO PARTICIPATE IN THE SHARE CAPITAL OF A MULTIPLE BANKING INSTITUTION, INDIVIDUALS INTENDING TO CONSTITUTE THEMSELVES AS CREDITORS WITH A GUARANTEE REGARDING THE PAID-IN SHARE CAPITAL OF A MULTIPLE BANKING INSTITUTION AND INDIVIDUALS INTENDING TO OBTAIN CONTROL OF A MULTIPLE BANKING INSTITUTION

INDIVIDUALS WHO, WITHIN THE APPLICATION PROCESS FOR AUTHORIZATION FOR THE ORGANIZATION AND OPERATION OF MULTIPLE BANKING INSTITUTIONS, INTEND TO SUBSCRIBE TWO PERCENT OR MORE OF THE SHARE CAPITAL OF THAT INSTITUTION

AFFIDAVIT FORMAT FOR NATURAL PERSONS

Mexico City, on

NATIONAL BANKING AND SECURITIES COMMISSION

To whom it may concern,

The undersigned, ( name of the person signing ), on my own behalf and for the purpose of providing the necessary information in relation to the authorization request submitted [to be submitted] to this National Banking and Securities Commission for the organization and operation of the multiple banking institution to be named ____________, I declare under oath the following:

That I have a good credit history according to the Credit Information Report, with the character of a special credit report in terms of the Law to Regulate Credit Information Societies, issued by the credit information society(ies) named ____________ (and _____________), and I am current in the fulfillment of my credit obligations, including in the case of credits that have been subject to restructuring. Attached hereto, please find the special credit report of the undersigned, in which this Commission may verify that there is no non-compliance with my credit obligations, or that if there is any prevention key in that regard, from the reports themselves it can be seen:

The existence of a favorable resolution for the debtor due to the challenge of the record in question, by virtue of errors attributable to the users of the credit information societies that are financial entities subject to the supervision of the National Banking and Securities Commission;

The existence of payment of overdue debts as of the date of the consultation and evidence of sustained payment over a period of 1 year;

Payment of losses caused to a financial entity, regardless of their amount, voluntarily promoted by the accredited party, or

The existence of favorable judicial resolutions for the accredited parties, in litigation with creditors.

Likewise, I declare that I do not have nor have I had control, nor do I exercise nor have I exercised command power over an issuing company that has defaulted on its debt security payment obligations in the securities market.

II.

That I am not nor have I been subject to criminal proceedings for an intentional crime punishable by penalty

bodily penalty greater than one year of imprisonment, and that, if I had been subject to such, it concluded with an acquittal.

III.

That I have not been subject to administrative inquiry or investigation procedures before the National Banking and Securities Commission for infringements of national or foreign financial laws, or before other Mexican supervisory and regulatory institutions of the financial system or of other countries, or that having been subject to such, these concluded with a firm and definitive resolution or an agreement/covenant in which my exoneration was expressly determined.

IV.

That I have not been declared in civil or commercial bankruptcy, or that even if I had been, it was terminated due to the causes indicated in sections I, II or V of Article 262 of the Commercial Bankruptcy Law, or, in the case of civil bankruptcy, for having fully paid creditors or entered into an agreement with them, in terms of local laws.

That I am or have been subject to or party in proceedings before common or federal jurisdictional bodies, criminal investigations, as well as any other procedure, including in other countries, individually and, where applicable, in my capacity as legal representative, director, officer, employee or agent of any legal entity, which are indicated below: (1)

Type of procedure	Body before which the procedure is carried out	Capacity in which I intervened	Status of the procedure, including start date and, where applicable, conclusion	Meaning of the final resolution, where applicable

VI.

That I have not been a shareholder, director, statutory auditor, general director or relevant executive in a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Sureties Commission or the National Commission for the Retirement Savings System, have denied a concession, authorization or registration, nor has authorization been denied to me to acquire shares of the capital stock of entities supervised by said National Commissions.

VII.

That I have not been a shareholder, director, statutory auditor or relevant executive in a financial entity whose concession or authorization has been revoked, or whose registration has been canceled, nor has authorization been denied to me to acquire shares of the capital stock of entities that enjoy the concession, authorization or registration of the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Sureties Commission or the National Commission for the Retirement Savings System.

The undersigned authorizes the National Banking and Securities Commission to verify, where applicable, with Mexican financial entities, credit information societies, the Institute for the Protection of Bank Savings and any competent authority, the veracity of the declarations contained in this document, regarding any type of operations, in the terms and with the scope referred to in Articles 142 of the Law on Credit Institutions, 192 and 295 of the Law on the Securities Market, 55 of the Law on Investment Funds and other related applicable provisions.

Likewise, I authorize the Commission itself so that during the time I act as a shareholder of the multiple banking institution in question or, hold shares representing its capital stock as collateral, in the event that said Commission learns by any means that I ceased to be in the situations of sections I to IV and VI and VII above, or, receives news that I am in a process before any jurisdictional body, it may verify and request the corresponding information.

The declarations under oath contained in this document are made for the purpose that the National Banking and Securities Commission has elements of judgment to evaluate the moral and economic solvency of the undersigned and so that it may determine, where applicable, in exercise of the discretionary power conferred upon that authority by Article 8 of the Law on Credit Institutions, whether it is prudent and opportune for me to participate as a shareholder in the capital stock of the multiple banking institution to be named ___________ with the proposed [to be proposed] shareholding percentages in the authorization application at hand.

Sincerely,

(Name and signature of the interested party)

Filling Instructions:

Fill in the blank spaces and provide the information indicated in parentheses, as appropriate.

Attach the Credit Information Report, as a special credit report in terms of the Law to Regulate Credit Information Societies. In the event that individuals have not resided in national territory for a period of six years prior to the date of the authorization application, the document equivalent to the Credit Information Report issued in their country of residence must be submitted. The referred documents must have an issuance date no more than three months prior to the date of such application.

In the event that the interested party is unable to make any of the declarations referred to in sections I to IV of this letter, they must express said circumstance in the corresponding numeral, detailing the facts, acts and reasons that prevent them or why they are not in the referred situations.

In the event that the person has caused any financial damage, impairment or detriment, directly or through an intermediary, to the detriment of financial entities due to non-compliance with their obligations or due to waivers, condonations or discounts received regarding credits, unless these had been under the protection of general programs implemented by the financial entities themselves or the Federal Government, the interested party must declare said situation, indicating the terms and characteristics of the credit in question, with an indication of the lending entity, as well as a detailed description of the circumstances under which the financial damage, impairment or detriment occurred. For the purposes of the foregoing, it will be understood that a natural person acted through the interposition of a legal entity when the former has or has had control over the latter, or when they exercise or have exercised command power over the society or association in question.

In the event that the person has caused financial damage, impairment or detriment to the detriment of issuing companies in the securities market in which they exercise or have exercised control or have or have had command power, due to non-compliance with payment obligations contracted with them, the interested party must declare said situation, indicating the terms and characteristics of the operation in question, with an indication of the issuing company, as well as a detailed description of the circumstances under which the financial damage, impairment or detriment occurred.

In the event that the person has been a shareholder, director, statutory auditor, general director or relevant executive in a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Sureties Commission or the National Commission for the Retirement Savings System, have denied a concession, authorization, registration; had its concession or authorization revoked, or its registration canceled, or had authorization denied to acquire shares of the capital stock of said legal entities, they must declare said situation, indicating a detailed description of the circumstances under which the concession, authorization, registration or authorization to acquire shares of the capital stock was revoked, canceled or denied.

Attach a document issued by a legal entity of recognized prestige, in the judgment of the National Banking and Securities Commission, that provides legal services and in which the information indicated in section V above is recorded, stating that it had the supporting documentation for it, in case a procedure was declared.

Attach a copy of the legal services contract that the applicant has entered into with the legal entity referred to in the previous numeral, which contains the terms and conditions agreed between the parties for the issuance of the document contained in the previous numeral, regarding which the National Banking and Securities Commission may require modifications.

Attach your curriculum vitae detailing the reasons or causes for the termination of the employment relationships presented in said information.

10.

Attach the registration data report issued by the Attorney General's Office or the General Prosecutor's Office that replaces it, as well as the letter of no criminal record issued by the Attorney General's Office or the State Prosecutor's Office of the place of residence and of the State where the main place of business is located. In the case of persons residing in Mexico City, the letter of no criminal record will be that issued by the Ministry of Interior through the National Security Commission, and for persons who do not reside or have not resided in national territory for a period longer than three months, in substitution of the aforementioned report and letter, they must present the equivalent documents to those previously indicated, issued in their country of residence. In the event that, to process the documents referred to in this numeral, interested persons require a formal request issued by the Commission, they must request it in writing from the Commission itself.

SWORN DECLARATION FORMAT FOR LEGAL ENTITIES

Mexico City, on

NATIONAL BANKING AND SECURITIES COMMISSION

Present,

(Legal name or business name of the legal entity), through its representative (name of the legal representative), whose legal capacity is accredited by power of attorney contained in (deed data and its registration in the Public Registry of Commerce), declares under oath and for the purpose of providing the necessary information in relation to the authorization application submitted [to be submitted] to the National Banking and Securities Commission for the organization and operation of the multiple banking institution to be named ____________, the following:

That it enjoys a good credit history according to the Credit Information Report, as a special credit report in terms of the Law to Regulate Credit Information Societies issued by the credit information society(ies) named ____________ (and _____________), and is up to date in the fulfillment of its credit obligations, including in the case of credits that have been subject to restructuring. Attached hereto, please find the special credit report in which this Commission may verify that there is no non-compliance with its credit obligations, or that if there is any prevention key in that regard, from the reports themselves it can be seen:

The existence of a favorable resolution for the debtor due to the challenge of the registration in question, by virtue of errors attributable to the users of the credit information societies that are financial entities subject to the supervision of the National Banking and Securities Commission;

The existence of payment of overdue debts as of the consultation date and evidence of sustained payment over a period of 1 year;

Payment of losses caused to a financial entity, regardless of their amount, voluntarily promoted by the accredited party, or

The existence of favorable judicial resolutions for the accredited parties, in litigation with creditors.

Likewise, we declare that our represented entity has not failed to comply with its payment obligations for debt securities in the securities market, nor does it exercise or has it exercised command power over an issuing company that has done so.

II.

That it has not been subject to administrative inquiry or investigation procedures before the National Banking and Securities Commission for infringements of national or foreign financial laws, or before other Mexican supervisory and regulatory institutions of the financial system or of other countries, or that having been subject to such, these concluded with a firm and definitive resolution or an agreement/covenant in which its exoneration was expressly determined.

III.

That it has not been declared in civil or commercial bankruptcy, or that even if it had been, it was terminated due to the causes indicated in sections I, II or V of Article 262 of the Commercial Bankruptcy Law, or, in the case of civil bankruptcy, for having fully paid creditors or entered into an agreement with them, in terms of local laws.

IV.

That it is or has been subject to or party in proceedings before common or federal jurisdictional bodies, criminal investigations, as well as any other procedure, which are indicated below: (2)

Type of procedure	Body before which the procedure is carried out	Capacity in which I intervened	Status of the procedure, including start date and, where applicable, conclusion	Meaning of the final resolution, where applicable

That it has not been a shareholder of a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Sureties Commission or the National Commission for the Retirement Savings System, have denied a concession, authorization or registration.

VI.

That it has not been a shareholder of a financial entity whose concession, authorization or registration has been revoked by the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Sureties Commission or the National Commission for the Retirement Savings System.

The undersigned, on behalf of its represented entity, authorizes the National Banking and Securities Commission to verify, where applicable, with Mexican financial entities, credit information societies, the Institute for the Protection of Bank Savings and any competent authority, the veracity of the declarations contained in this document, regarding any type of operations, in the terms and with the scope referred to in Articles 142 of the Law on Credit Institutions, 192 and 295 of the Law on the Securities Market, 55 of the Law on Investment Funds and other related applicable provisions.

Likewise, I authorize the Commission itself so that during the time my represented entity acts as a shareholder of the multiple banking institution in question or, holds shares representing its capital stock as collateral, in the event that said Commission learns by any means that it ceased to be in the situations of sections I to III and V and VI above, or, receives news that it is in a process before any jurisdictional body, it may verify and request the corresponding information.

The declarations under oath contained in this document are made for the purpose that the National Banking and Securities Commission has elements of judgment to evaluate the moral and economic solvency of my represented entity and so that it may determine, where applicable, in exercise of the discretionary power conferred upon that authority by Article 8 of the Law on Credit Institutions, whether it is prudent and opportune for it to participate as a shareholder in the capital stock of the multiple banking institution to be named ___________ with the proposed [to be proposed] shareholding percentages in the authorization application at hand.

Sincerely,

(Name and signature of the legal representative)

(Legal name or business name of the legal entity)

Filling Instructions:

Fill in the blank spaces and provide the information indicated in parentheses, as appropriate.

Attach the Credit Information Report, as a special credit report in terms of the Law to Regulate Credit Information Societies, with an issuance date no more than three months prior to the application date.

In the event that the interested party is unable to make any of the declarations referred to in sections I to III of this letter, they must express said circumstance in the corresponding numeral, detailing the facts, acts and reasons that prevent them or why they are not in the referred situations.

For the purposes of the foregoing, it will be understood that a legal entity acted through the interposition of another legal entity when the former has or has had control over the latter, or when it exercises or has exercised command power over the society or association in question.

In the event that the person has been a shareholder in a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Sureties Commission or the National Commission for the Retirement Savings System have denied a concession, authorization or registration, or had it revoked, they must declare said situation, indicating a detailed description of the circumstances under which the concession, authorization or registration was revoked or denied.

Attach a document issued by a legal entity of recognized prestige, in the judgment of the National Banking and Securities Commission, that provides legal services and in which the information indicated in section IV above is recorded, stating that it had the supporting documentation for it, in case a procedure was declared.

II.

PERSONS SEEKING AUTHORIZATION TO ACQUIRE DIRECTLY OR INDIRECTLY MORE THAN FIVE PERCENT OF "O" SERIES SHARES REPRESENTING THE PAID-IN CAPITAL STOCK OF A MULTIPLE BANKING INSTITUTION \

Ley de Concursos Mercantiles, or, in the case of civil bankruptcy, having paid creditors in full or entered into an agreement with them, under the terms of local laws.

That I am or have been a subject or party in proceedings before common or federal jurisdictional bodies, criminal investigations, as well as any other procedure, even in other countries, individually and, where applicable, in my capacity as legal representative, director, official, employee or agent of any legal entity, which are indicated below: (3)

Type of procedure
Body before whom the procedure is carried out
Capacity in which
I intervened
Status of the procedure, including start date and, if applicable, conclusion Outcome of the definitive resolution, if any

VI.

That I have not been a shareholder, director, auditor, general manager or relevant executive in a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission or the National Retirement Savings System Commission, has denied the concession, authorization or registration, nor has authorization been denied to me to acquire shares of the social capital of companies supervised by said National Commissions.

VII.

That I have not been a shareholder, director, auditor or relevant executive in a financial entity whose concession or authorization has been revoked, or registration cancelled, nor has authorization been denied to me to acquire shares of the social capital of companies that enjoy the concession, authorization or registration of the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission or the National Retirement Savings System Commission.

The undersigned hereby authorizes the National Banking and Securities Commission to, where applicable, verify before Mexican financial entities, credit information societies, the Bank Insurance Protection Institute and any competent authority, the truthfulness of the declarations contained in this writing, regarding any type of operations, under the terms and with the scope referred to in Articles 142 of the Credit Institutions Law, 192 and 295 of the Securities Market Law, 55 of the Investment Funds Law and others that are applicable.

Likewise, I authorize said Commission to, during the time I serve as shareholder of the multiple banking institution in question or, maintain in guarantee shares representative of its social capital, in the event that said Commission learns by any means that I ceased to be in the circumstances of fractions I to IV and VI and VII above, or, receives news that I am in a process before any jurisdictional body, verify and request the corresponding information.

The declarations under oath contained in this document are made for purposes that the National Banking and Securities Commission has elements of judgment to evaluate the moral and economic solvency of the signatory and to determine, if applicable, in exercise of the discretionary power granted by Article 17 of the Credit Institutions Law to that authority, whether it is prudent and appropriate to acquire directly or indirectly more than five percent of series "O" shares representative of more than five percent of the paid-in social capital of the multiple banking institution denominated ____________, with the proposed shareholding percentages [to be proposed] in the authorization application we are addressing.

Sincerely,

(Name and signature of the interested party)

Filling Instructions:

Fill in the blanks and provide the information indicated in parentheses, according to correspondence.

Attach the Credit Information Report, with the character of special credit report in terms of the Law to Regulate Credit Information Societies. In the event that persons have not resided in national territory during a period of six years prior to the date of the authorization request, the equivalent document to the Credit Information Report Issued in their country of residence must be presented. The referred documents must have an issuance date no greater than three months prior to the date of such request.

In the event that the interested party is unable to make any of the declarations referred to in fractions I to IV of this letter, they must express in the corresponding numeral such circumstance, detailing the facts, acts and reasons that prevent them or why they do not fit the referred circumstances.

In the event that the person has caused loss, damage or detriment to assets, directly or through an intermediary person, to the detriment of financial entities due to the non-compliance with obligations at their charge or of debt write-offs, forgiveness or discounts received with respect to credits, unless these had been under general programs implemented by the financial entities themselves or the Federal Government, the interested party must declare such situation, indicating the terms and characteristics of the credit in question, with indication of the lending entity, as well as a detailed description of the circumstances under which the loss, damage or detriment to assets occurred.

For the purposes of the foregoing, it will be understood that a natural person acted through the interposition of a legal entity, when the former has or has had control of the latter, or when exercises or has exercised command power over the society or association in question.

In the event that the person has caused loss, damage or detriment to assets in detriment of issuing societies in the securities market in which they exercise or have exercised control or have or have had command power, due to non-compliance with payment obligations contracted with these, the interested party must declare such situation, indicating the terms and characteristics of the operation in question, with indication of the issuing society, as well as a detailed description of the circumstances under which the loss, damage or detriment to assets occurred.

In the event that the person has been a shareholder, director, auditor, general manager or relevant executive in a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission or the National Retirement Savings System Commission, has denied the concession, authorization, registration; has had its concession or authorization revoked, or registration cancelled, or has been denied authorization for acquiring shares of the social capital of said legal entities, must declare such situation, indicating a detailed description of the circumstances under which the concession was revoked or negated, authorization, registration or the authorization to acquire shares of the social capital.

Accompany a document issued by a legal entity of recognized prestige judged by the National Banking and Securities Commission, which provides legal services and in which it is stated the information indicated in fraction V above, stating that it had seen the support documentation for it in case a procedure was declared.

Attach a copy of the legal services contract that the applicant has celebrated with the legal entity referred to in the previous numeral, which contains the terms and conditions agreed between the parties for the issuance of the document contained in the previous numeral, regarding which the National Banking and Securities Commission may require modifications.

Annex your curriculum vitae in which the motives or causes for the termination of the
labor relations presented in said information are detailed.

10.

Attach the registry data report issued by the Attorney General's Office of the Republic or the General Prosecutor's Office that replaces it, as well as the certificate of no criminal records issued by the Justice Prosecutor's Office or the State Prosecutor's Office of the place of residence and of the State where the main business seat is located. In the case of persons residing in Mexico City, the certificate of no criminal records will be the one issued by the Ministry of the Interior through the National Security Commission, and for persons who do not reside or have not resided in national territory for a period greater than three months, in substitution of the report and the letter mentioned, they must present the equivalent documents to those previously mentioned, issued in the country of their residence. In the event that, to process the documents referred to in this numeral, interested persons require a formal petition issued by the Commission, they must request it in writing to said Commission.

AFFIDAVIT FORMAT FOR LEGAL ENTITIES

Mexico City, on

NATIONAL BANKING AND SECURITIES COMMISSION

Present,

( Name or corporate name of the legal entity ), through its representative ( name of the legal representative ), personality accredited through power contained in ( data of the deed and of its inscription in the Public Registry of Commerce ), declares under oath and with the purpose of providing the information that proves necessary in relation to the request of authorization presented [to be presented] before that National Banking and Securities Commission to acquire directly or indirectly more than five percent of series "O" shares representative of the paid-in capital of the multiple banking institution denominated____________, the following:

That it enjoys a good credit history according to the Credit Information Report, with the character of special credit report in terms of the Law to Regulate Credit Information Societies, issued by the credit information society(s) named____________ (and _____________), and is up to date in the fulfillment of its credit obligations, including regarding credits that have been subject of restructuring. Attached hereto, please find the special credit report in which that Commission can verify that there is no breach whatsoever with its credit obligations, or that if there is any warning key in that sense, from the reports themselves it can be appreciated:

The existence of a favorable resolution for the debtor due to the challenge of the record of that matter, due to errors attributable to users of credit information societies that are financial entities subject to supervision by the National Banking and Securities Commission;

The existence of payment of overdue debts at the date of the consultation and evidence of sustained payment in a period of 1 year;

Payment of losses caused to a financial entity, regardless of amount, promoted voluntarily by the creditor, or

The existence of judicial resolutions favorable to the creditors, in litigation with creditors.

Likewise, we declare that our represented party has not breached its payment obligations of debt instruments in the securities market, nor exercises or has exercised command power of an issuing society that has done so.

II.

That it has not been subject to investigation or administrative inquiry procedures before the National Banking and Securities Commission for infractions to national or foreign financial laws, or before other supervisory and regulatory institutions Mexican of the financial system or of other countries, or that having been so, these had as conclusion a firm and definitive resolution or agreement/contract in which its exoneration was expressly determined.

III.

That it has not been declared in civil or commercial bankruptcy, or that even if it has been, this was terminated by the causes indicated in fractions I, II or V of Article 262 of the Commercial Bankruptcy Law, or, in the case of civil bankruptcy, by having paid in full to creditors or entered into an agreement with them, under the terms of local laws.

IV.

That it is or has been a subject or party in proceedings before common jurisdictional bodies or federal, criminal investigations, as well as any other procedure, which are indicated below: (4)

That it has not been a shareholder of a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission or the National Retirement Savings System Commission has denied the concession, authorization or registration.

VI.

That it has not been a shareholder of a financial entity whose concession, authorization or registration has been revoked by the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission or the National Retirement Savings System Commission.

The undersigned on behalf of its represented party authorizes the National Banking and Securities Commission to, in case, verify before Mexican financial entities, credit information societies, the Bank Insurance Protection Institute and any competent authority, the truthfulness of the declarations contained in this writing, regarding any type of operations, in terms and with the scope referred to in Articles 142 of the Credit Institutions Law, 192 and 295 of the Securities Market Law, 55 of the Investment Funds Law and others that are applicable.

Likewise, I authorize said Commission to, during the time my represented party serves as shareholder of the multiple banking institution in question or, maintains in guarantee shares representative of its social capital, in the event that said Commission learns by any means that I ceased to be in the circumstances of fractions I to III and V and VI above, or, receives news that it is in a process before any jurisdictional body, verify and request the corresponding information.

The declarations under oath contained in this document are made for purposes that the National Banking and Securities Commission has elements of judgment to evaluate the moral and economic solvency of my represented party and to determine, if applicable, in exercise of the discretionary power granted by Article 17 of the Credit Institutions Law to that authority, whether it is prudent and appropriate to acquire directly or indirectly more than five percent of series "O" shares representative of more than five percent of the paid-in social capital of the multiple banking institution denominated ____________, with the proposed shareholding percentages [to be proposed] in the authorization application we are addressing.

Sincerely,

(Name and signature of the legal representative)

(Name or corporate name of the legal entity)

Filling Instructions:

Fill in the blanks and provide the information indicated in parentheses, according to correspondence.

Attach the Credit Information Report, with the character of special credit report in terms of the Law to Regulate Credit Information Societies with an issuance date no greater than three months prior to the date of request.

In the event that the interested party is unable to make any of the declarations referred to in fractions I to III of this letter, they must express in the corresponding numeral such circumstance, detailing the facts, acts and reasons that prevent them or why they do not fit the referred circumstances.

For the purposes of the foregoing, it will be understood that a legal entity acted through the interposition of another legal entity, when the first has or has had control of the second, or when exercises or has exercised command power over the society or association in question.

In the event that the person has been a shareholder in a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission and Values, the National Commission of Insurance and Bonds or the National Commission of the Retirement Savings System has denied the concession, authorization or registration, or has had it revoked, must declare such situation, indicating a detailed description of the circumstances under which the concession was revoked or denied authorization or registration.

Accompany a document issued by a legal entity of recognized prestige judged by the National Banking and Securities Commission, which provides legal services and in which it is stated the information indicated in fraction IV above, stating that it had seen the support documentation for it, in case a procedure was declared.

III.

PERSONS SEEKING AUTHORIZATION TO CONSTITUTE THEMSELVES AS CREDITORS WITH COLLATERAL REGARDING MORE THAN FIVE PERCENT OF SERIES "O" SHARES REPRESENTATIVE OF THE PAID-IN SOCIAL CAPITAL OF A MULTIPLE BANKING INSTITUTION

AFFIDAVIT FORMAT FOR NATURAL PERSONS

Mexico City, on

NATIONAL BANKING AND SECURITIES COMMISSION

Present,

The undersigned, ( name of the person signing ), by my own right and with the object of providing the information that proves necessary in relation to the authorization request presented [to be presented] before that National Banking and Securities Commission to constitute myself as creditors with collateral on series "O" shares representative of more than five percent of the paid-in social capital of a multiple banking institution, I declare under oath the following:

That I enjoy a good credit history according to the Credit Information Report, with the character of special credit report in terms of the Law to Regulate Credit Information Societies, issued by the credit information society(s) named____________ (and _____________), and I am up to date in the fulfillment of my credit obligations, including regarding credits that have been subject of restructuring. Attached hereto, please find the special credit report of the undersigned, in which that Commission can verify that there is no breach whatsoever with my credit obligations, or that if there is any warning key in that sense, from the reports themselves it can be appreciated:

The existence of payment of overdue debts at the date of the consultation and evidence of sustained payment in a period of 1 year;

Payment of losses caused to a financial entity, regardless of amount, promoted voluntarily by the creditor, or

The existence of judicial resolutions favorable to the creditors, in litigation with creditors.

Likewise, I declare that I do not have nor have had control, nor exercise nor have exercised command power of an issuing society that has breached its payment obligations of debt titles in the securities market.

II.

That I am not or have not been, subject to criminal process for intentional crime sanctioned with a penalty greater than one year of imprisonment and that, in case I have been so, this concluded with acquittal sentence.

III.

That I have not been subject to investigation or administrative inquiry procedures before the National Banking and Securities Commission for infractions to national or foreign financial laws, or before other supervisory and regulatory institutions Mexican of the financial system or of other countries, or that having been so, these had as conclusion a firm and definitive resolution or agreement/contract in which its exoneration was expressly determined.

IV.

That I have not been declared in civil or commercial bankruptcy, or that even if I have been, this was terminated by the causes indicated in fractions I, II or V of Article 262 of the Commercial Bankruptcy Law, or, in the case of civil bankruptcy, by having paid in full to creditors or entered into an agreement with them, under the terms of local laws.

That I am or have been a subject or party in proceedings before common jurisdictional bodies or federal, criminal investigations, as well as any other procedure, even in other countries, individually and, where applicable, in my capacity as legal representative, director,

officer, employee or agent of any legal entity, as indicated below: (5)

Type of procedure	Body before which the procedure is carried out	Capacity in which I intervened	Status of the procedure, including start date and, where applicable, conclusion	Meaning of the final resolution, where applicable

VI. That I have not been a shareholder, director, statutory auditor, general director or relevant executive in a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Sureties Commission or the National Commission for the Retirement Savings System, have denied the concession, authorization or registration, nor have I been denied authorization to acquire shares of the capital stock of companies supervised by said National Commissions.

VII. That I have not been a shareholder, director, statutory auditor or relevant executive in a financial entity whose concession or authorization has been revoked, or whose registration has been canceled, nor have I been denied authorization to acquire shares of the capital stock of companies that enjoy the concession, authorization or registration of the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Sureties Commission or the National Commission for the Retirement Savings System.

The undersigned authorizes the National Banking and Securities Commission to verify, where appropriate, with Mexican financial entities, credit information companies, the Institute for the Protection of Bank Savings and any competent authority, the veracity of the declarations contained in this document, regarding any type of operations, in the terms and with the scope referred to in Articles 142 of the Credit Institutions Law, 192 and 295 of the Securities Market Law, 55 of the Investment Funds Law and other related provisions that may be applicable.

Likewise, I authorize the Commission itself so that during the time I act as a shareholder of the multiple banking institution in question or, maintain shares representing its capital stock as collateral, in the event that said Commission learns by any means that I ceased to be in the situations of sections I to IV and VI and VII above, or, has news that I am in a process before any jurisdictional body, it may verify and request the corresponding information.

The declarations under oath contained in this document are made for the purpose that the National Banking and Securities Commission has elements of judgment to evaluate the moral and economic solvency of the undersigned and so that it may determine, where appropriate, in exercise of the discretionary power conferred by Article 17 of the Credit Institutions Law to that authority, whether it is prudent and opportune to constitute me as a creditor with a guarantee over shares representing more than five percent of "O" series shares representing more than five percent of the paid-in capital stock of the multiple banking institution named ____________, with the share percentages proposed [to be proposed] in the authorization application at hand.

Sincerely,

(Name and signature of the interested party)

Filling Instructions:

Fill in the blank spaces and provide the information indicated in parentheses, as appropriate.
Attach the Credit Information Report, as a special credit report in terms of the Law to Regulate Credit Information Companies. In the event that persons have not resided in national territory for a period of six years prior to the date of the authorization application, the document equivalent to the Credit Information Report issued in their country of residence must be submitted. The referred documents must have an issuance date no more than three months prior to the date of such application.
In the event that the interested party is unable to make any of the declarations referred to in sections I to IV of this letter, they must express said circumstance in the corresponding numeral, detailing the facts, acts and reasons that prevent them or why they are not in the referred situations.
In the event that the person has caused any financial loss, impairment or detriment, directly or through an interposed person, to the detriment of financial entities due to non-compliance with their obligations or due to write-offs, waivers or discounts received regarding credits, unless these were under the protection of general programs implemented by the financial entities themselves or the Federal Government, the interested party must declare said situation, indicating the terms and characteristics of the credit in question, with an indication of the lending entity, as well as a detailed description of the circumstances under which the financial loss, impairment or detriment occurred.

For the purposes of the foregoing, it will be understood that a natural person acted through the interposition of a legal entity, when the former has or has had control of the latter, or when they exercise or have exercised power of command over the society or association in question.

In the event that the person has caused financial loss, impairment or detriment to the detriment of issuing companies in the securities market in which they exercise or have exercised control or have or have had power of command, due to non-compliance with payment obligations contracted with them, the interested party must declare said situation, indicating the terms and characteristics of the operation in question, with an indication of the issuing company, as well as a detailed description of the circumstances under which the financial loss, impairment or detriment occurred.
In the event that the person has been a shareholder, director, statutory auditor, general director or relevant executive in a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Sureties Commission or the National Commission for the Retirement Savings System, have denied the concession, authorization, registration; had its concession or authorization revoked, or its registration canceled, or, had authorization denied to acquire shares of the capital stock of said legal entities, they must declare said situation, indicating a detailed description of the circumstances under which the concession, authorization, registration or authorization to acquire shares of the capital stock was revoked, canceled or denied.
Accompany a document issued by a legal entity of recognized prestige, in the opinion of the National Banking and Securities Commission, that provides legal services and in which the information indicated in section V above is recorded, stating that it had sight of the supporting documentation for this, in case a procedure has been declared.
Attach a copy of the legal services contract that the applicant has entered into with the legal entity referred to in the previous numeral, which contains the terms and conditions agreed between the parties for the issuance of the document contained in the previous numeral, regarding which the National Banking and Securities Commission may require modifications.
Attach your curriculum vitae detailing the reasons or causes for the termination of the employment relationships presented in said information.
Attach the registration data report issued by the Attorney General's Office or the General Prosecutor's Office that replaces it, as well as the letter of no criminal record issued by the Attorney General's Office or the State Prosecutor's Office of the place of residence and of the State where the main place of business is located. In the case of persons residing in Mexico City, the letter of no criminal record will be that issued by the Ministry of Interior through the National Security Commission, and for persons who do not reside or have not resided in national territory for a period longer than three months, in substitution of the aforementioned report and letter, they must present the equivalent documents to those previously indicated, issued in their country of residence. In the event that, to process the documents referred to in this numeral, interested persons require a formal request issued by the Commission, they must request it in writing from the Commission itself.

B. DECLARATION LETTER FORMAT FOR LEGAL ENTITIES

Mexico City, on

NATIONAL BANKING AND SECURITIES COMMISSION

Present,

( Name or corporate name of the legal entity ), through its representative ( name of the legal representative ), whose legal personality is accredited by power of attorney contained in ( details of the deed and its registration in the Public Registry of Commerce ), declares under oath and for the purpose of providing the necessary information in relation to the authorization application submitted [to be submitted] to that National Banking and Securities Commission to constitute themselves as creditors with a guarantee over "O" series shares representing more than five percent of the paid-in capital stock of a multiple banking institution , the following:

I. That it enjoys a good credit history according to the Credit Information Report, as a special credit report in terms of the Law to Regulate Credit Information Companies issued by the credit information company(ies) named ____________ (and _____________), and is up to date in the fulfillment of its credit obligations, including in the case of credits that have been subject to restructuring. Attached hereto, please find the special credit report in which that Commission may verify that there is no non-compliance with its credit obligations, or that if there is any prevention key in that regard, from the reports themselves it can be seen:

a) The existence of a favorable resolution for the debtor due to the challenge of the registration in question, by virtue of errors attributable to the users of the credit information companies that are financial entities subject to the supervision of the National Banking and Securities Commission;

b) The existence of payment of overdue debts as of the date of the consultation and evidence of sustained payment over a period of 1 year;

c) Payment of losses caused to a financial entity, regardless of their amount, voluntarily promoted by the accredited party, or

d) The existence of favorable judicial resolutions for the accredited parties, in litigation with creditors.

Likewise, we declare that our represented entity has not failed to comply with its payment obligations for debt securities in the securities market, nor does it exercise or has it exercised power of command over an issuing company that has done so.

II. That it has not been subject to administrative investigation or inquiry procedures before the National Banking and Securities Commission for infringements of national or foreign financial laws, or before other Mexican supervisory and regulatory institutions of the financial system or from other countries, or that having been so, these concluded with a firm and definitive resolution or an agreement/covenant in which its exoneration was expressly determined.

III. That it has not been declared in civil or commercial insolvency, or that even having been so, this was terminated due to the causes indicated in sections I, II or V of Article 262 of the Commercial Insolvency Law, or, in the case of civil insolvency, by having fully paid creditors or entered into an agreement with them, in terms of local laws.

IV. That it is or has been subject or party to proceedings before jurisdictional bodies of the common or federal order, criminal investigations, as well as any other procedure, as indicated below: (6)

Type of procedure	Body before which the procedure is carried out	Capacity in which I intervened	Status of the procedure, including start date and, where applicable, conclusion	Meaning of the final resolution, where applicable

V. That it has not been a shareholder of a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Sureties Commission or the National Commission for the Retirement Savings System, have denied the concession, authorization or registration.

VI. That it has not been a shareholder of a financial entity whose concession, authorization or registration has been revoked by the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Sureties Commission or the National Commission for the Retirement Savings System.

The undersigned, on behalf of its represented entity, authorizes the National Banking and Securities Commission to verify, where appropriate, with Mexican financial entities, credit information companies, the Institute for the Protection of Bank Savings and any competent authority, the veracity of the declarations contained in this document, regarding any type of operations, in the terms and with the scope referred to in Articles 142 of the Credit Institutions Law, 192 and 295 of the Securities Market Law, 55 of the Investment Funds Law and other related provisions that may be applicable.

Likewise, I authorize the Commission itself so that during the time my represented entity acts as a shareholder of the multiple banking institution in question or, maintains shares representing its capital stock as collateral, in the event that said Commission learns by any means that it ceased to be in the situations of sections I to III and V and VI above, or, has news that it is in a process before any jurisdictional body, it may verify and request the corresponding information.

The declarations under oath contained in this document are made for the purpose that the National Banking and Securities Commission has elements of judgment to evaluate the moral and economic solvency of my represented entity and so that it may determine, where appropriate, in exercise of the discretionary power conferred by Article 17 of the Credit Institutions Law to that authority, whether it is prudent and opportune to constitute me as a creditor with a guarantee over shares representing more than five percent of "O" series shares representing more than five percent of the paid-in capital stock of the multiple banking institution named ____________, with the share percentages proposed [to be proposed] in the authorization application at hand.

Sincerely,

(Name and signature of the legal representative)

(Name or corporate name of the legal entity)

Filling Instructions:

Fill in the blank spaces and provide the information indicated in parentheses, as appropriate.
Attach the Credit Information Report, as a special credit report in terms of the Law to Regulate Credit Information Companies with an issuance date no more than three months prior to the application date.
In the event that the interested party is unable to make any of the declarations referred to in sections I to III of this letter, they must express said circumstance in the corresponding numeral, detailing the facts, acts and reasons that prevent them or why they are not in the referred situations.
In the event that the person has caused any financial loss, impairment or detriment, directly or through an interposed person, to the detriment of financial entities due to non-compliance with their obligations or due to write-offs, waivers or discounts received regarding credits, unless these were under the protection of general programs implemented by the financial entities themselves or the Federal Government, the interested party must declare said situation, indicating the terms and characteristics of the credit in question, with an indication of the lending entity, as well as a detailed description of the circumstances under which the financial loss, impairment or detriment occurred.

For the purposes of the foregoing, it will be understood that a legal entity acted through the interposition of another legal entity, when the former has or has had control of the latter, or when it exercises or has exercised power of command over the society or association in question.

In the event that the person has caused financial loss, impairment or detriment to the detriment of issuing companies in the securities market in which it exercises or has exercised control or has or has had power of command, due to non-compliance with payment obligations contracted with them, the interested party must declare said situation, indicating the terms and characteristics of the operation in question, with an indication of the issuing company, as well as a detailed description of the circumstances under which the financial loss, impairment or detriment occurred.
In the event that the person has been a shareholder in a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Sureties Commission or the National Commission for the Retirement Savings System have denied the concession, authorization or registration, or, it has been revoked, they must declare said situation, indicating a detailed description of the circumstances under which the concession, authorization or registration was revoked or denied.
Accompany a document issued by a legal entity of recognized prestige, in the opinion of the National Banking and Securities Commission, that provides legal services and in which the information indicated in section IV above is recorded, stating that it had sight of the supporting documentation for this in case a procedure has been declared.
Attach a copy of the legal services contract that the applicant has entered into with the legal entity referred to in the previous numeral, which contains the terms and conditions agreed between the parties for the issuance of the document contained in the previous numeral, regarding which the National Banking and Securities Commission may require modifications.

IV. PERSONS OR GROUP OF PERSONS WHO INTEND TO OBTAIN CONTROL OF A MULTIPLE BANKING INSTITUTION, IN TERMS OF THE PROVISIONS OF ARTICLE 22 BIS, SECTION II, OF THE LAW

A. DECLARATION LETTER FORMAT FOR NATURAL PERSONS

Mexico City, on

NATIONAL BANKING AND SECURITIES COMMISSION

Present,

The undersigned, ( name of the person signing ), on my own behalf and for the purpose of providing the necessary information in relation to the authorization application submitted [to be submitted] to that National Banking and Securities Commission to obtain control of the multiple banking institution itself, in terms of the provisions of Article 22 Bis, section II, of the Credit Institutions Law], declare under oath the following:

I. That I enjoy a good credit history according to the Credit Information Report, as a special credit report in terms of the Law to Regulate Credit Information Companies issued by the credit information company(ies) named ____________ (and _____________), and I am up to date in the fulfillment of my credit obligations, including in the case of credits that have been subject to restructuring. Attached hereto, please find the special credit report of the undersigned, in which that Commission may verify that there is no non-compliance with my credit obligations, or that if there is any prevention key in that regard, from the reports themselves it can be seen:

b) The existence of payment of overdue debts as of the date of the consultation and evidence of sustained payment over a period of 1 year;

c) Payment of losses caused to a financial entity, regardless of their amount, voluntarily promoted by the accredited party, or

d) The existence of favorable judicial resolutions for the accredited parties, in litigation with creditors.

Likewise, I declare that I do not have nor have I had control, nor do I exercise nor have I exercised power of command over an issuing company that has failed to comply with its payment obligations for debt securities in the securities market.

II. That I am not nor have I been subject to criminal proceedings for an intentional crime punishable by a corporal penalty greater than one year of imprisonment, and that, if I have been, it concluded with an acquittal.

III. That I have not been subject to administrative investigation or inquiry procedures before the National Banking and Securities Commission for infringements of national or foreign financial laws, or before other Mexican supervisory and regulatory institutions of the financial system or from other countries, or that having been so, these concluded with a firm and definitive resolution or an agreement/covenant in which my exoneration was expressly determined.

IV. That I have not been declared in civil or commercial insolvency, or that even having been so, this was terminated due to the causes indicated in sections I, II or V of Article 262 of the Commercial Insolvency Law, or, in the case of civil insolvency, by having fully paid creditors or entered into an agreement with them, in terms of local laws.

V. That I am or have been subject or party to proceedings before jurisdictional bodies of the common or federal order, criminal investigations, as well as any other procedure, including in other countries, individually and, where applicable, in my capacity as legal representative, director, officer, employee or agent of any legal entity, as indicated below: (7)

Type of procedure	Body before which the procedure is carried out	Capacity in which I intervened	Status of the procedure, including start date and, where applicable, conclusion	Meaning of the final resolution, where applicable

Bancaria y de Valores, the National Insurance and Bonds Commission or the National Retirement Savings System Commission, has denied the concession, authorization or registration, nor has the authorization to acquire shares of the social capital of societies supervised by said National Commissions been denied to me.

VII.

That I have not been a shareholder, board member, auditor or relevant executive in a financial entity whose concession or authorization has been revoked or registration cancelled, nor has the authorization to acquire shares of the social capital of societies that enjoy the concession, authorization or registration of the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission or the National Retirement Savings System Commission been denied to me.

The undersigned authorizes the National Banking and Securities Commission to verify, if applicable, before Mexican financial entities, credit information societies, the Institute for the Protection of Bank Savings and any competent authority, the truthfulness of the statements contained in this writing, regarding any type of operations, in terms and with the breadth referred to in Articles 142 of the Credit Institutions Law, 192 and 295 of the Securities Market Law, 55 of the Investment Funds Law and others that are applicable.

Likewise, I authorize the said Commission to, during the time that I serve as a shareholder of the multiple banking institution in question or maintain in guarantee shares representing its social capital, in the event that said Commission learns by any means that I no longer meet the conditions of fractions I to IV and VI and VII above, or has news that I am in a process before any judicial body, verify and request the corresponding information.

The statements under oath contained in this document are made for the purpose that the National Banking and Securities Commission has elements of judgment to evaluate the moral and economic solvency of the undersigned and to determine, if applicable, in the exercise of the discretionary power conferred by Article 17 of the Credit Institutions Law to that authority, if it is prudent and opportune for it to obtain control of the multiple banking institution, in terms of what is provided in Article 22 Bis, fraction II, of the Credit Institutions Law in the authorization request we occupy, with the proposed shareholding percentages [to be proposed] in the authorization request we occupy.

Sincerely,

(Name and signature of the interested party)

Filling Instructions:

Fill in the blanks and provide the information indicated in parentheses, as appropriate.

Attach the Credit Information Report, with the character of special credit report in terms of the Law to Regulate Credit Information Societies. In the event that the persons have not resided in national territory during a period of six years prior to the date of the authorization request, the equivalent document to the Credit Information Report issued in their country of residence must be presented. The referred documents must have an issuance date no more than three months prior to the date of such request.

In the event that the interested party is not in a position to make any of the statements referred to in fractions I to IV of this letter, they must express in the corresponding numeral this circumstance, detailing the facts, acts and reasons that prevent them or for which they do not fit the referred conditions.

In the event that the person has caused loss, damage or patrimonial detriment, directly or through an intermediary person, to the detriment of financial entities due to non-compliance with obligations under their charge or of discounts, forgiveness or discounts received regarding credits, unless these had been under general programs implemented by the financial entities themselves or the Federal Government, the interested party must declare this situation, indicating the terms and characteristics of the credit in question, with indication of the accrediting entity, as well as a detailed description of the circumstances under which the loss, damage or patrimonial detriment occurred.

For the purposes of the foregoing, it will be understood that a natural person acted through the interposition of a legal person, when the first has or has had control of the second, or when it exercises or has exercised power of command with respect to the society or association in question.

In the event that the person has caused loss, damage or patrimonial detriment to the detriment of issuing societies in the securities market in which they exercise or have exercised control or have or have had power of command, due to non-compliance with payment obligations contracted with these, the interested party must declare this situation, indicating the terms and characteristics of the operation in question, with indication of the issuing society, as well as a detailed description of the circumstances under which the loss, damage or patrimonial detriment occurred.

In the event that the person has been a shareholder, board member, auditor, general director or relevant executive in a legal person to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission or the National Retirement Savings System Commission have denied the concession, authorization, registration, its concession or authorization has been revoked or registration cancelled, or they have denied the authorization to acquire shares of the social capital of said legal persons, they must declare this situation, indicating a detailed description of the circumstances under which the concession, authorization, registration or the authorization to acquire shares of the social capital was revoked or denied.

Accompany a document issued by a legal person of recognized prestige in the judgment of the National Banking and Securities Commission, which provides legal services and in which the information indicated in the previous fraction V is stated, noting that it had the supporting documentation for it, in case a procedure has been declared.

Attach a copy of the legal services contract that the applicant has celebrated with the legal person referred to in the previous numeral, which contains the terms and conditions agreed between the parties for the issuance of the document contained in the previous numeral, regarding which the National Banking and Securities Commission may require modifications.

Attach your curriculum vitae in which the reasons or causes for the termination of the labor relationships presented in that information are detailed.

10.

Accompany the registry data report issued by the Attorney General's Office of the Republic or the General Prosecutor's Office that replaces it, as well as the certificate of no criminal records issued by the Justice Prosecutor's Office or the State Prosecutor's Office of the place of residence and of the State where the main business seat is located. In the case of persons residing in Mexico City, the certificate of no criminal records will be that issued by the Ministry of the Interior through the National Security Commission, and for persons who do not reside or have not resided in national territory for a period greater than three months, in substitution of the report and the letter mentioned, they must present the equivalent documents to those previously indicated, issued in the country of their residence. In the event that, to process the documents referred to in this numeral, the interested persons require a formal petition issued by the Commission, they must request it in writing to the Commission itself.

FORMAT OF PROTEST LETTER FOR LEGAL ENTITIES

Mexico City, to

NATIONAL BANKING AND SECURITIES COMMISSION

Present,

( Name or corporate name of the legal person ), through its representative ( name of the legal representative ), personality which it accredits through power contained in ( data of the deed and its registration in the Public Registry of Commerce ), declares under oath and with the purpose of providing the information that may be necessary in relation to the authorization request presented [to be presented] before that National Banking and Securities Commission to obtain control of the multiple banking institution, in terms of what is provided in Article 22 Bis, fraction II, of the Credit Institutions Law, the following:

That it enjoys a good credit history according to the Credit Information Report, with the character of special credit report in terms of the Law to Regulate Credit Information Societies, issued by the credit information society(ies) named(s) ____________( and _____________), and is up to date in the fulfillment of its credit obligations, including regarding credits that have been subject to restructuring. Attached to the present, please find the special credit report in which that Commission can verify that there is no non-compliance with its credit obligations, or that if there is any key of prevention in this sense, from the reports themselves it can be appreciated:

The existence of a favorable resolution to the debtor due to the challenge of the registration in question, due to errors attributable to the users of the credit information societies that are financial entities subject to the supervision of the National Banking and Securities Commission;

The existence of payment of overdue debts on the date of the consultation and evidence of sustained payment in a period of 1 year;

Payment of losses caused to a financial entity, regardless of its amount, promoted voluntarily by the accredited, or

The existence of favorable judicial resolutions to the accredited, before litigation with the creditors.

Likewise, we declare that our represented party has not failed to comply with its payment obligations for debt titles in the securities market, nor has it exercised or has exercised power of command of an issuing society that has done so.

II.

That it has not been subject to investigation or administrative investigation procedures before the National Banking and Securities Commission for infringements to national or foreign financial laws, or before other Mexican supervisory and regulatory institutions of the financial system or of other countries, or that having been so, these concluded with a firm and definitive resolution or agreement/convention in which its exoneration was expressly determined.

III.

That it has not been declared in civil or commercial bankruptcy, or that even if it had been, this was terminated by the causes indicated in fractions I, II or V of Article 262 of the Commercial Bankruptcy Law, or, regarding civil bankruptcy, by having paid in full to the creditors or entered into an agreement with them, in terms of the local laws.

IV.

That it is or has been a subject or party in processes before judicial bodies of the common or federal order, criminal investigations, as well as any other procedure, which are indicated below: (8)

Type of procedure

Body before which the procedure is carried out

Character with which it intervened

Status of the procedure, including start date and, if applicable, conclusion

Sense of the definitive resolution, if applicable

That it has not been a shareholder of a legal person whose concession, authorization or registration has been revoked by the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission or the National Retirement Savings System Commission has denied the concession, authorization or registration.

VI.

That it has not been a shareholder of a financial entity whose concession, authorization or registration has been revoked by the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission or the National Retirement Savings System Commission.

The undersigned on behalf of its represented party authorizes the National Banking and Securities Commission to verify, if applicable, before Mexican financial entities, credit information societies, the Institute for the Protection of Bank Savings and any competent authority, the truthfulness of the statements contained in this writing, regarding any type of operations, in terms and with the breadth referred to in Articles 142 of the Credit Institutions Law, 192 and 295 of the Securities Market Law, 55 of the Investment Funds Law and others that are applicable.

Likewise, I authorize the said Commission to, during the time that my represented party serves as a shareholder of the multiple banking institution in question or maintains in guarantee shares representing its social capital, in the event that said Commission learns by any means that I no longer meet the conditions of fractions I to III and V and VI above, or has news that it is in a process before any judicial body, verify and request the corresponding information.

The statements under oath contained in this document are made for the purpose that the National Banking and Securities Commission has elements of judgment to evaluate the moral and economic solvency of the undersigned and to determine, if applicable, in the exercise of the discretionary power conferred by Article 17 of the Credit Institutions Law to that authority, if it is prudent and opportune for it to obtain control of the multiple banking institution, in terms of what is provided in Article 22 Bis, fraction II, of the Credit Institutions Law], with the proposed shareholding percentages [to be proposed] in the authorization request we occupy.

Sincerely,

(Name and signature of the legal representative)

(Name or corporate name of the legal person)

Filling Instructions:

Fill in the blanks and provide the information indicated in parentheses, as appropriate.

Attach the Credit Information Report, with the character of special credit report in terms of the Law to Regulate Credit Information Societies with an issuance date no more than three months prior to the date of request.

In the event that the interested party is not in a position to make any of the statements referred to in fractions I to III of this letter, they must express in the corresponding numeral this circumstance, detailing the facts, acts and reasons that prevent them or for which they do not fit the referred conditions.

For the purposes of the foregoing, it will be understood that a legal person acted through the interposition of another legal person, when the first has or has had control of the second, or when it exercises or has exercised power of command with respect to the society or association in question.

In the event that the person has been a shareholder in a legal person to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission or the National Retirement Savings System Commission have denied the concession, authorization or registration, or its concession has been revoked, they must declare this situation, indicating a detailed description of the circumstances under which the concession, authorization or registration was revoked or denied.

Accompany a document issued by a legal person of recognized prestige in the judgment of the National Banking and Securities Commission, which provides legal services and in which the information indicated in the previous fraction IV is stated, noting that it had the supporting documentation for it, in case a procedure has been declared.

ANNEX 55

CURRICULUM VITAE FORMAT FOR PERSONS PROPOSED TO OCCUPY THE POSITIONS OF BOARD MEMBER, GENERAL MANAGER OR OFFICIAL WITHIN THE TWO IMMEDIATELY LOWER HIERARCHIES TO THAT OF THE GENERAL MANAGER AND AUDITOR OF MULTIPLE BANKING INSTITUTIONS

Name of the multiple banking institution.

Date of preparation. (dd/mm/yyyy)

This information is part of the request presented to the National Banking and Securities Commission, its content is confidential and may be subject to review and verification.

Filling Instructions

This format must be filled out by:

Board members.

General manager.

Officials who hold positions with the two immediately lower hierarchies to that of General Manager.

Auditors.

No spaces should be left blank, in any case mention: None, No, I don't have, Not applicable.

All names and data required must be presented in full (e.g. persons with two names).

SECTION 1

PERSONAL IDENTIFICATION DATA

First name(s).

Paternal surname.

Maternal surname.

Nationality.

RFC (with homoclave)

Unique Population Registry Key (CURP)

Address for hearing and receiving notifications

Street and exterior and/or interior number.

Neighborhood.

Delegation or Municipality.

Federative Entity.

Postal code.

Country.

Marital status.

Name of spouse or concubine (s).

Name of relatives in direct line ascendant and descendant up to the second degree.

SECTION 2

PARTICIPATION OF THE PERSON IN THE MULTIPLE BANKING INSTITUTION

Position.

President of the board of directors.

Proprietary board member.

Independent:

Yes

Alternate board member.

Independent:

Yes

Secretary of the board of directors.

General manager.

Finance director.

Legal director.

Commercial director.

Other(s).

Specify: ____________________________________

SECTION 3

ACADEMIC EXPERIENCE

Institution

Date

Degree

SECTION 4

PROFESSIONAL EXPERIENCE (FIVE YEARS OF EXPERIENCE IN THE MATTER)

Institution

Period

Position

SECTION 5

ADDITIONAL INFORMATION

If you consider that there is any other relevant information not contemplated in the previous sections, you must list the information and comment in the following box.

Section.

Information.

SECTION 6

STATEMENTS AND SIGNATURES

Through this channel, the undersigned authorizes the National Banking and Securities Commission, regarding the information provided here, to:

Verify it as it considers pertinent, as well as to obtain from any other authority it deems convenient information about my person, due to the authorization request presented before that Commission.

Share it in a confidential manner with the National Insurance and Bonds Commission, National Retirement Savings System Commission, the Bank of Mexico, the Tax Administration Service, the Attorney General's Office of the Republic and other authorities, for the exclusive fulfillment of their functions.

I confirm that I have read and filled out this format with care, such that I understand its content and legal implications.

I understand that providing false data will be grounds for considering that the legal requirements are not met to occupy the positions referred to in this Annex, without prejudice to the penalties or legal sanctions that may proceed according to the case.

I DECLARE UNDER OATH THAT THE DATA CONTAINED
IN THIS DECLARATION ARE TRUE

Signature of the person or legal representative

NAME

DATE

SECTION 7

DOCUMENTS THAT MUST BE ATTACHED TO THE APPLICATION

Copy of valid official identification (voter credential or passport and in the case of persons of foreign nationality, migratory form or passport).

Copy of the tax identification card and of the Unique Population Registry Key.

Documentation supporting the information referred to in Sections 3 and 4 of this Annex.

Curriculum Vitae.

ANNEX 56

FORMATS OF PROTEST LETTERS FOR PERSONS PROPOSED TO OCCUPY THE POSITIONS OF BOARD MEMBER, GENERAL MANAGER OR OFFICIAL WITHIN THE TWO IMMEDIATELY LOWER HIERARCHIES TO THAT OF THE GENERAL MANAGER AND AUDITOR OF MULTIPLE BANKING INSTITUTIONS

PERSONS PROPOSED AS BOARD MEMBERS OF MULTIPLE BANKING INSTITUTIONS

NATIONAL BANKING AND SECURITIES COMMISSION

Present,

The undersigned, ( name of the person signing ), by my own right and in relation to the request for authorization presented before that Commission for the organization and operation of the multiple banking institution to be named (___________________), in which I would be proposed to serve as board member, through this I manifest UNDER OATH THAT I AM TELLING THE TRUTH:

That I do not fall into any of the following situations established by Article 23 of the Law of

Institutions of Credit, as an impediment to being a board member of a multiple banking institution:

To be an official or employee of the institution (with the exception of the general director and the officials of the company who hold any position with the two administrative hierarchies immediately below that of the aforementioned, provided that these cannot constitute more than one-third of the board of directors).

II.

To be the spouse, concubine, or concubine of any of the persons referred to in the previous numeral. Likewise, I have no kinship by blood or affinity up to the second degree, or civil, with more than two board members.

III.

To have a pending lawsuit with any of the persons requesting authorization for the organization and operation of the institution in question.

IV.

To have been sentenced for property crimes; disqualified from exercising commerce or from holding an employment, position, or commission in the public service, or in the Mexican financial system.

To have been declared bankrupt or in bankruptcy proceedings (without having been rehabilitated).

VI.

To perform inspection and supervision functions of any credit institution.

VII.

To perform regulation and supervision functions of any credit institution.

VIII.

To participate in the board of directors of another multiple banking institution or of a holding company of a financial group to which a multiple banking institution belongs.

That I am not in any of the restriction or incompatibility scenarios provided for in the applicable legislation.

That I have no conflict of interest or opposing interest to that of the persons requesting authorization for the organization and operation of the referred institution (nor, in its case, with any of the companies that form part of the financial group to which the institution belongs).

That I am up to date with my credit obligations of any kind, which I evidence with the Credit Information Report, with an issuance date not more than three months prior to the date of this application.

That I know the rights and obligations I would assume upon accepting the appointment as board member of the multiple banking institution to be named (___________________) and that I have the necessary experience to perform said position.

That I am or have been a subject or party before common or federal jurisdictional bodies, criminal investigations, as well as any other procedure, even in other countries, individually and, in its case, in my capacity as legal representative, board member, official, employee, or commissioner of any legal entity, which are indicated below: (9)

Type of procedure
Body before which the procedure is carried out Capacity in which I intervened Status of the procedure, including start date and, if applicable, conclusion Outcome of the final resolution, if any

That I meet the requirements of technical quality, honorability, and satisfactory credit history, as well as extensive experience and knowledge in financial matters in accordance with the general provisions applicable issued by the National Banking and Securities Commission.

That I have not been a shareholder, board member, auditor, general director, or relevant executive in a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission, or the National Retirement Savings System Commission, have denied the concession, authorization, or registration, nor has authorization been denied to me to acquire shares of the social capital of companies supervised by said National Commissions.

That I have not been a shareholder, board member, auditor, or relevant executive in a financial entity to which the concession or authorization has been revoked, or the registration canceled, nor has authorization been denied to me to acquire shares of the social capital of companies that enjoy the concession, authorization, or registration of the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission, or the National Retirement Savings System Commission.

I authorize the National Banking and Securities Commission to verify and request the corresponding information during the time I serve as a board member of the multiple banking institution in question, or if, in case that said Commission learns by any means that I no longer meet the requirements of subsections a) to e) and g) to j) above, or if I have news that I am in a process before any jurisdictional body.

Sincerely,

(NAME AND SIGNATURE)

Annexes. - The Credit Information Report, with the character of special credit report in terms of the Law to Regulate Credit Information Companies. In case the persons have not resided in national territory during a period of six years prior to the date of the authorization request, the document equivalent to the Credit Information Report issued in their country of residence must be presented. The referred documents must have an issuance date not more than three months prior to the date of such request.

Accompany a document issued by a legal entity of recognized prestige in the judgment of the National Banking and Securities Commission, which provides legal services and in which the information indicated in the previous subsection f) is stated, noting that it had the supporting documentation for it, in case a procedure has been declared.

Attach a copy of the legal services contract that the applicant has celebrated with the legal entity referred to in the previous paragraph, which contains the terms and conditions agreed upon between the parties for the issuance of the document contained in the previous paragraph, regarding which the National Banking and Securities Commission may require modifications.

Attach the registry data report issued by the Attorney General's Office of the Republic or the General Prosecutor's Office that substitutes it, as well as the criminal record certificate issued by the Justice Prosecutor's Office or the State Prosecutor's Office of the place of residence and the State where the main business seat is located. In case of persons residing in Mexico City, the criminal record certificate will be that issued by the Ministry of the Interior through the National Security Commission, and for persons who do not reside or have not resided in national territory for a period greater than three months, in substitution of the mentioned report and certificate, they must present the documents equivalent to those previously mentioned, issued in the country of their residence. In the event that, to process the documents referred to in this numeral, the interested persons require a formal petition issued by the Commission, they must request it in writing to the Commission itself.

II.

PERSONS PROPOSED TO OCCUPY THE POSITION OF GENERAL DIRECTOR OR OFFICIAL WITHIN THE TWO IMMEDIATELY LOWER HIERARCHIES TO THE GENERAL DIRECTOR, OF MULTIPLE BANKING INSTITUTIONS

Mexico City to,

NATIONAL BANKING AND SECURITIES COMMISSION

Present,

The undersigned, (name of the person signing), by my own right and in relation to the authorization request presented before said Commission for the organization and operation of the multiple banking institution to be named (___________________), in which I would be proposed to perform as (corresponding position), through this I declare UNDER OATH OF TRUTH:

That I reside in Mexican territory.

That I have provided at least five years of my services in high-level decision-making positions, whose performance required knowledge and experience in financial and administrative matters.

That I am not in any of the following scenarios established in Article 23 of the Law of Credit Institutions, as an impediment to being a senior executive of a multiple banking institution:

To have a pending lawsuit with any of the persons requesting authorization for the organization and operation of the institution in question.

II.

To have been sentenced for property crimes; disqualified from exercising commerce or from holding an employment, position, or commission in the public service, or in the Mexican financial system.

III.

To have been declared bankrupt or in bankruptcy proceedings (without having been rehabilitated).

IV.

To perform inspection and supervision functions of credit institutions.

To perform regulation and supervision functions of credit institutions.

VI.

To participate in the board of directors of another multiple banking institution or of a holding company of a financial group to which a multiple banking institution belongs.

That I am not in any of the restriction or incompatibility scenarios provided for in the applicable legislation.

That I know the rights and obligations I would assume upon accepting the appointment as (corresponding position) of the multiple banking institution to be named (___________________) and that I have the necessary experience to perform said position.

That I have not been a shareholder, board member, auditor, general director, or relevant executive in a legal entity to which the Ministry of Finance and Public Credit, the National Banking and Securities Commission, the National Insurance and Bonds Commission, or the National Retirement Savings System Commission, have denied the concession, authorization, or registration, nor has authorization been denied to me to have the character of shareholder in companies supervised by said National Commissions.

I authorize the National Banking and Securities Commission to verify and request the corresponding information during the time I serve as general director or official within the two immediately lower hierarchies to the general director of the multiple banking institution in question, or if, in case that said Commission learns by any means that I no longer meet the requirements of subsections a) to g) and i) to k) above, or if I have news that I am in a process before any jurisdictional body.

Sincerely,

(NAME AND SIGNATURE)

Annexes.- The Credit Information Report, with the character of special credit report in terms of the Law to Regulate Credit Information Companies. In case the persons have not resided in national territory during a period of six years prior to the date of the authorization request, the document equivalent to the Credit Information Report issued in their country of residence must be presented. The referred documents must have an issuance date not more than three months prior to the date of such request.

Accompany a document issued by a legal entity of recognized prestige in the judgment of the National Banking and Securities Commission, which provides legal services and in which the information indicated in the previous subsection h) is stated, noting that it had the supporting documentation for it.

Attach the registry data report issued by the Attorney General's Office of the Republic or the General Prosecutor's Office that substitutes it, as well as the criminal record certificate issued by the Justice Prosecutor's Office or State Prosecutor's Office of the place of residence and the State where the main business seat is located. In case of persons residing in Mexico City, the criminal record certificate will be that issued by the Ministry of the Interior through the National Security Commission, and for persons who do not reside or have not resided in national territory for a period greater than three months, in substitution of the mentioned report and certificate, they must present the documents equivalent to those previously mentioned, issued in the country of their residence. In the event that, to process the documents referred to in this numeral, the interested persons require a formal petition issued by the Commission, they must request it in writing to the Commission itself.

III.

PERSONS PROPOSED TO OCCUPY THE POSITION OF AUDITOR OF MULTIPLE BANKING INSTITUTIONS

NATIONAL BANKING AND SECURITIES COMMISSION

Present,

The undersigned, (name of the person signing), by my own right and in relation to the authorization request presented before said Commission for the organization and operation of the multiple banking institution to be named (___________________), in which I would be proposed to perform as auditor, through this I declare UNDER OATH OF TRUTH:

That I reside in Mexican territory.

That I do not have a pending lawsuit with any of the persons requesting authorization for the organization and operation of the institution in question.

That I have not been sentenced for property crimes; disqualified from exercising commerce or from holding an employment, position, or commission in the public service, or in the Mexican financial system.

That I am not in any of the restriction or incompatibility scenarios provided for in the applicable legislation.

That I know the rights and obligations I would assume upon accepting the appointment as auditor of the multiple banking institution to be named (___________________) and that I have the necessary experience to perform said position.

I authorize the National Banking and Securities Commission to verify and request the corresponding information during the time I serve as auditor of the multiple banking institution in question, or if, in case that said Commission learns by any means that I no longer meet the requirements of subsections a) to g) and i) to k) above, or if I have news that I am in a process before any jurisdictional body.

Sincerely,

(NAME AND SIGNATURE)

Accompany a document issued by a legal entity of recognized prestige in the judgment of the National Banking and Securities Commission, which provides legal services and in which the information indicated in the previous subsection h) is stated, noting that it had the supporting documentation for it, in case a procedure has been declared.

Attach the registry data report issued by the Attorney General's Office of the Republic or the General Prosecutor's Office that substitutes it, as well as the criminal record certificate issued by the Justice Prosecutor's Office or State Prosecutor's Office of the place of residence and the State where the main business seat is located. In case of persons residing in Mexico City, the criminal record certificate will be that issued by the Ministry of the Interior through the National Security Commission, and for persons who do not reside or have not resided in national territory for a period greater than three months, in substitution of the mentioned report and certificate, they must present the documents equivalent to those previously mentioned, issued in the country of their residence. In the event that, to process the documents referred to in this numeral, the interested persons require a formal petition issued by the Commission, they must request it in writing to the Commission itself.

Only for the case in which the undersigned has been the subject of any process before common or federal jurisdictional tribunals, criminal investigations, as well as any other that by its relevance must be declared by the applicant. In the contrary case, the fields must be filled with "N/A".

Only for the case in which the legal entity has been the subject of any process before common or federal jurisdictional tribunals, criminal investigations, as well as any other that by its relevance must be declared by the applicant. In the contrary case, the fields must be filled with "N/A".

Only in the case where the signatory has been subject to any proceedings before common or federal jurisdiction courts, criminal investigations, as well as any other that by its relevance must be declared by the applicant. Otherwise, the fields must be filled with 'N/A'.

Only in the case where the legal entity has been subject to any proceedings before common or federal jurisdiction courts, criminal investigations, as well as any other that by its relevance must be declared by the applicant. Otherwise, the fields must be filled with 'N/A'.

In the document you are viewing, there may be text, characters, or objects that do not display correctly due to conversion to HTML format, so we recommend always taking the digitized image of the DOF or the PDF file of the edition as a reference. The content, format, and scope of published documents are the strict responsibility of their issuer.

INQUIRY

BY DATE

Sá

INDICATORS

Exchange Rate and Rates as of 29/08/2026

UDIS

8.809369

SURVEYS

Did you like the new look of the Official Gazette of the Federation website?

Yes

Official Gazette of the Federation

Río Amazonas No. 62, Col. Cuauhtémoc, C.P. 06500, Mexico City Tel. (55) 5093-3200, where you can access our menu of services

Electronic address: dof.gob.mx

Lineage: No known changes