Resolving Amendment to the Resolution Modifying General Provisions Applicable to Brokerage Houses Published on March 1, 2022

DOF: 16/06/2022

RESOLUTORY AMENDMENT to the Resolution that modifies the General Provisions applicable to brokerage houses published on March 1, 2022

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

The National Banking and Securities Commission, based on the provisions of articles 171, first paragraph, and 180, third paragraph of the Securities Market Law; 98 Bis of the Credit Institutions Law; as well as 4, fractions XXXVI and XXXVIII, and 16, fraction I of the Law of the National Banking and Securities Commission, and

CONSIDERING

That, in order for brokerage houses to be able to comply with the legal framework applicable to the Duty of Best Execution that these entities must observe in their clients' orders, and to provide them with greater elements of certainty and viability that allow them to comply with the balanced sending of positions to the stock exchanges, it is deemed necessary to extend the period originally granted with the "Resolution that modifies the General Provisions applicable to brokerage houses", published in the Official Gazette of the Federation on March 1, 2022, so that said stock intermediaries carry out the pertinent modifications to their technological systems, processes, methodologies, and internal controls, has resolved to issue the

following:

RESOLUTORY AMENDMENT TO THE RESOLUTION THAT MODIFIES THE GENERAL PROVISIONS APPLICABLE TO BROKERAGE HOUSES PUBLISHED IN THE

OFFICIAL GAZETTE

OF THE FEDERATION ON MARCH 1, 2022

SOLE.- Article ONE TRANSITORY of the "Resolution that modifies the General Provisions applicable to brokerage houses, published in the Official Gazette of the Federation on March 1, 2022" is AMENDED, to read as follows:

" FIRST.- This Resolution shall enter into force on August 22, 2022.

SECOND.- . . . "

TRANSITORY

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

Respectfully

Mexico City, June 7, 2022. - President of the National Banking and Securities Commission, Jesús de la Fuente Rodríguez.- Signature.

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