Access Guide for Brokerage Firms

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Executive Managment of Equity Markets

capitales@grupobmv.com.mx

Introduction
The Members are the Stock Brokers admitted by the BMV (Mexican Stock Exchange) and authorized by the Comisión Nacional Bancaria y de Valores to operate as a Full Member or Limited Member:
- Full Member; the Member admitted by the BMV to carry out intermediation activities in the Capital and Debt Markets referred by the Bylaws of the BMV terms, including the execution of Trades in the Electronic Trading System and in the International Quotation System (SIC Capitales).
- Limited Member; the Member admitted by the BMV to carry out intermediation activities in the Debt Market, in accordance with the Bylaws of the BMV and, where appropriate, register Offerings or carry out the registration of debt securities that are traded in the Capital Market.
Requirements for Full Members
PROCESS
- Arrange an appointment through the Capital Transactional Services Department (DSTC), to present the general panorama of the business strategy, confirming under which figure they will operate.
- Designate a responsible contact on the part of the Member with whom constant communication will be maintained during the Member registration process.
REQUIREMENTS TO BE ADMITTED AS A FULL MEMBER.
Submit the corresponding application to the BMV, accompanied by the documentation indicated below;
1. Copy of the official authorization to organize and operate as a Member.
2. Certified copy of the current bylaws that are granted for carrying out activities in the stock market.
3. Registration data of the company in the Registro Público de Comercio.
4. Report of its capital stock integration.
5. The last 3 complete fiscal years Financial Statements prior to the date of the application, or since its constitution if its age is less.
6. Report of its board of director’s integration and, where appropriate, its committees.
7. List of its main officials.
8. Report of the start activities date.
9. Any other document that is required by the BMV.
Requeriments for Limit Members
PROCESS
- Arrange an appointment through the Capital Transactional Services Department (DSTC), to present the general panorama of the business strategy, confirming under which figure they will operate.
- Designate a responsible contact on the part of the Member with whom constant communication will be maintained during the Member registration process.
REQUIREMENTS TO BE ADMITTED AS A LIMITED MEMBER.
1. Present the documentation referred to in sections I, VI and VII of provision 2.002.00 of the Bylaws of the BMV, and comply with the requirement referred to in section VIII of the previous provision.
2. Appoint the responsible for carrying out the Offerings or the corresponding registration of debt securities, through Emisnet.
3. To have, in the opinion of the BMV, the necessary infrastructure of human resources and electronic systems to carry out the intermediation activities referred to in this provision.

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Access Guide for Brokerage Firms

Introduction

Requirements for Full Members

PROCESS

Requeriments for Limit Members

PROCESS

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