Resolving Amendment to the Resolution Modifying the General Provisions Applicable to Broker-Dealers Published on November 4, 2021

DOF: 01/03/2022

RESOLVING AMENDMENT TO THE RESOLUTION THAT MODIFIES THE GENERAL PROVISIONS APPLICABLE TO BROKER-DEALERS PUBLISHED ON NOVEMBER 4, 2021

At the margin, a seal with the National Coat of Arms, which says: 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, sections XXXVI and XXXVIII, and 16, section I of the Law of the National Banking and Securities Commission, and

CONSIDERING

That, with the purpose of providing broker-dealers with greater elements of certainty and viability that allow them to comply with the balanced submission of bids to the stock exchanges, as well as with the applicable legal framework for the Duty of Best Execution that these entities must observe in their clients' orders, it is deemed necessary to extend the original deadline granted with the "Resolution that modifies the General Provisions applicable to Broker-Dealers," published in the Official Gazette of the Federation on November 4, 2021, so that said stock market intermediaries make the pertinent modifications to their technological systems, processes, methodologies, and internal controls, has resolved to issue the following:

RESOLVING AMENDMENT TO THE RESOLUTION THAT MODIFIES THE GENERAL PROVISIONS APPLICABLE TO BROKER-DEALERS PUBLISHED IN THE OFFICIAL GAZETTE OF THE FEDERATION ON NOVEMBER 4, 2021

SINGLE.- The FIRST and SECOND TRANSITORY articles of the Resolution that modifies the General Provisions applicable to Broker-Dealers, published in the Official Gazette of the Federation on November 4, 2021, are REFORMED, to read as follows:

" FIRST.- This Resolution shall enter into force on May 16, 2022. "

SECOND.- Broker-dealers shall have until March 18, 2022, to make modifications to their manuals and systems and, no later than on the aforementioned date, submit them for authorization to the National Banking and Securities Commission, as well as to update measures and controls, in order to comply with what is established by articles 59, section XI; 76 Bis, and 117 Bis 12, section IX, which are reformed by means of this Resolution, as well as to address what is indicated by article 74 Bis, which is added to the "General Provisions applicable to Broker-Dealers" by means of this instrument and submit them for authorization to said Commission, as applicable.

To this effect, the National Banking and Securities Commission shall have until the date of entry into force of this Resolution to approve the modifications to the manuals and systems referred to in the previous paragraph. "

TRANSITORY

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

Respectfully

Mexico City, February 18, 2022. - President of the National Banking and Securities Commission, Jesús de la Fuente Rodríguez.- Signature.

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