On October 2, 2014, they were published in the Official Journal of the Federation(DOF) the provisions of a general nature for the certification of independent external auditors, compliance officers and other professionals in matters of Prevention of Operations with Resources of Illicit Origin and Financing of Terrorism.

This means that as part of the financial reform, the National Banking and Securities Commission (CNBV) will certify in the area of Prevention of Money Laundering and Terrorist Financing (PLD / FT) auditors, compliance officers and other professionals in the aforementioned matter. that they render their services to the entities and persons subject to the supervision of the CNBV to verify compliance with the financial laws and the provisions that derive from them in the matter of PLD / FT.

The object of the certification is to verify that the professionals who provide their services to financial entities and persons subject to the supervision of the CNBV have the necessary knowledge in the matter of PLD / FT.

In this context, there is a need to train and train the professionals who need to apply for the certification exam. That is why the Public Accountants Association of Mexico provides the 64/5000
Workshop for the CNBV Certification Exam in the field of PLD / FT
through its Money Laundering Prevention Commission, which is made up of a group of specialists in the field.

DEVELOPMENT

For the preparation of the certification exam, it is important to mention that the CNBV published on its website the guide and the Examination guide for participants to obtain certification in accordance with the General Provisions for the certification of independent external auditors, compliance officers and other professionals regarding the prevention of operations with resources of illicit origin and financing of terrorism prepared by the National Center for Evaluation of Higher Education (CENEVAL).

THE STUDY GUIDES

The guideline of the CNBV provides a list of study topics, which is divided into eight chapters as follows:

  • Money laundering and financing of terrorism
  • International organizations and forums that participate in the prevention of money laundering and financing of terrorism
  • Prevention and combat of money laundering and financing of terrorism in the Mexican financial system
  • Money laundering prevention regime and financing of terrorism in the Mexican financial system
  • Detection and risk management in terms of prevention of money laundering and financing of terrorism
  • Audit on matters of prevention of money laundering and financing of terrorism
  • Compliance Officer, auditor, members of the Communication and Control Committee
  • Notions of the Federal Law for the Prevention and Identification of Operations with Resources of Illegal Origin

La CENEVAL Guide It helps to provide an approach to how the test will be distributed in each area.

OF THE REGISTRATION PROCESS AND APPLICATION OF THE EXAM

The CNBV has published periodically through the DOF </ i> the call to register for the certification exam in which the participation bases that consist of the following elements are mentioned:

  • Schedule with dates to register, apply exam and report results
  • Places available
  • Federal entities in which the application will be made

Note:The payment of fees for certification must be made within the registration process.

STUDY TIPS

  • División de temas. Es importante que primero se identifique aquellos temas en los que se tiene dificultad; revisarlos; posteriormente organizar los temas de estudio conforme al temario guía.
  • Organizar agenda. Se sugiere buscar un lugar en el que se sienta a gusto y pueda estudiar; salir de la habitualidad.
  • Definir las técnicas de estudio. Utilizar material que se adecue a su estilo(Tablet, lap top, cuaderno, colores, banderitas, etcétera).
  • Repasar temas. Repasar los temas que se revisaron en una sesión de estudio anterior.
  • Preguntar si hay dudas. Existen temas que pueden ser complejos de entender por lo que es recomendable aclarar dudas con otras personas o bien apoyarse de la tecnología.
  • Buscar cursos, pláticas, conferencias, talleres que le permitan fortalecer los temas de interés.

CONCLUSIONES

El examen de certificación podría verse algo complejo al tener niveles cognitivos de evaluación; recordar, comprender, aplicar y analizar, por ello es sugerible que se consideren técnicas de estudio para lograr un mejor resultado. El examen de certificación es un reto que conlleva responsabilidades y ofrece ventajas para los profesionales.

L.C. Alma Luz Alcántara González

Integrante de la comisión de Prevención de Lavado de Dinero

aalcantara@dfk.com.mx

Publicado originalmente en la Revista electrónica Veritas Online, URL: (https://veritasonline.com.mx/examen-de-certificacion-cnbv-en-materia-de-pldft-como-prepararse/), 27/07/2017.