Compliance

Principles Applicable to Financial Market Infrastructures (PFMIs)

In 2012, the Committee on Payments and Market Infrastructures (CPMI) of the Bank for International Settlements (BIS) and the Technical Committee of the International Organization of Securities Commissions (IOSCO) published the Principles for Financial Market Infrastructures (""Principles"" or ""PFMIs"") to establish a set of guidelines for effective risk management in compliance with existing international standards and consequently strengthening Financial Market Infrastructures. S.D Indeval recognizes that as a Central Securities Depository, it must have a solid foundation for the proper management of its activities and is focused on complying with the Principles. To this end, it has made available the ""Disclosure Framework"" that explains how to comply with the principles mentioned above.


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Code of Ethics

S.D. Indeval, as a company of the Mexican Stock Exchange Group (BMV), adheres to its Code of Ethics and Conduct, which establishes a framework of reference and guidelines of conduct based on and consistent with the values of BMV Group.


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Anti-corruption & money laundering policy

Indeval adheres to the BMV Group's Anti-Corruption and Anti-Money Laundering Policy, published to reflect the institutional commitments against corruption and the performance of acts or operations with resources of illicit origin (money laundering).


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Privacy Policy

The Mexican Stock Exchange (Bolsa Mexicana de Valores, S.A.B. de C.V. (BMV)), and its present and future subsidiaries and/or affiliates1  (hereinafter, “BMV Group”), whose address is located at Paseo de la Reforma No. 255, Colonia Cuauhtémoc, Alcaldía Cuauhtémoc, Zip Code 06500, Mexico City and whose website is www.bmv.com.mx, is responsible for the use and protection of your personal data, and in this regard, we hereby inform you the following:

For what purposes will we use your personal data?

In BMV Group, we will use the personal data that we collect for all or some of the following purposes that are necessary for the relationship and/or link that we will have with you, according to the following:


  • To maintain and comply with the obligations arising from the commercial and/or legal relationship that we have with you (e.g.: customer, supplier and/or employee, as applicable).
  • To record, document and keep updated the information of the acts and meetings of the corporate bodies of the BMV Group’s companies, as well as to comply with several requirements of partnerships, commercial partners and clients and/or prospects thereof, whether national or foreign.
  • To meet legal or authority requirements.
  • For your personal identification and contact and for family and/or work and/or personal references, as well as their respective representatives.
  • For accounting registration, billing and/or making payments.
  • For the management and administration of curricula and employment applications.
  • To comply with physical security and civil protection regulations and measures.
  • For the registration of visitors to the BMV Group facilities.

    In addition, we will use your personal information for the following secondary purposes that are not necessary for the relationship that we will maintain with you, but which allow and facilitate us to provide better services:
  • Marketing or advertising.
  • Commercial prospecting.

    In case you do not want your personal data to be used for these secondary purposes, please indicate it below:

    I do not consent to my personal data being used for the following purposes:
    [ ] Marketing or advertising

    [ ] Commercial prospecting


    The refusal to use your personal data for these purposes may not be a reason for us to deny you the services and products you request or hire with us.

    What personal information will we use for these purposes?

    In order to carry out the purposes described in this Privacy Notice, we will use all or some of the following personal data:

    • Identification data.
    • Contact information.
    • Data on physical characteristics (video recording).
    • Work information.
    • Academic information.
    • Migratory information.
    • Financial information.


    When hiring employees, in addition to the personal data mentioned above, for the purposes stated in this Privacy Notice, we will use the following personal data considered as sensitive, which requires special protection:

  • Health information.
  • Biometric data.
  • With whom do we share your personal information and for what purposes?

    We inform you that your personal data may be transferred in and/or out of the country to the following persons, companies, organizations or authorities other than us, for the following purposes:

    Recipient of personal data

    Purpose

    Requires consent

    Mexican administrative and judicial authorities.

    To comply with regulations or requirements.

    No

    Public social security institutions and/or tax authorities.

    To comply with the contractual and legal relationship kept with the holder of the personal data.

    No

    Insurance and banking institutions and providers of socio-economic analysis services.

    To comply with the contractual relationship kept with the holder of the personal data.

    No

    Subsidiary companies and/or legal entities of the Mexican Stock Exchange.

    To comply with the contractual relationship kept with the holder of the personal data.

    No

    National and/or foreign or international associations, institutions, agencies or organizations.

    To carry out activities related to the representation of the person in charge of the personal data processing in forums in which the person has some participation and/or affiliation.

    Yes

    To clinical and/or pharmacological laboratories.

    To comply with the contractual relationship kept with the holder of the personal data.
    (e.g. as an employee).

    Yes


    How can you access, rectify or cancel your personal data, or oppose to its use?

    You have the right to (i) know what personal data we have about you, how we use it and the conditions of its use (Access); (ii) request the correction of your personal information in case it is outdated, inaccurate or incomplete (Rectification); (iii) request that we remove it from our records or databases when you consider that it is not being used properly (Cancellation); as well as (iv) oppose to the use of your personal data for specific purposes (Opposition). These rights are known as ARCO rights.
     
    For the exercise of any of the ARCO rights, you must submit the respective application by contacting the Compliance Office (personal data department) by telephone at (55) 5342-9000, extensions 9120, 9106 and 9626, or by email to compliance@grupobmv.com.mx, or physically at the address located at Paseo de la Reforma No. 255, Colonia Cuauhtémoc, Alcaldía Cuauhtémoc, Zip Code 06500, Mexico City.


    With regard to the procedure and requirements for the exercise of your ARCO rights, we hereby inform you the following:

    a) By what means can the holder and, where appropriate, his/her representative prove their identity and the latter’s legal capacity?

    By physically submitting the application, accompanied by a copy of the official identification of the holder and, where applicable, a simple copy of the power of attorney for the holder’s representative, or a simple power of attorney signed by the holder and two witnesses and a simple copy of the official identification of the representative or proxy.
     
    b) What information and/or documentation should the application include?

    1. Name of the holder and address or other means to communicate the response to the request;
    2. The documents that prove the identity or, where appropriate, the legal representation of the holder;
    3. A clear and precise description of the personal data in respect of which the holder seeks to exercise any of the ARCO rights, and
    4. Any other element or document that facilitates the location of the personal data.
     
    c) How long will it take for us to respond to your request?

    Within 20 business days from the day on which the application is received or, where applicable, within the maximum period stipulated by the applicable regulation.
     
    d) By what means will we communicate the response to your request?

    Through the means indicated in the application.


    You can revoke your consent for the use of your personal data

    You can revoke your consent for the use of your personal data

    You can revoke the consent that, where appropriate, you have granted us for the processing of your personal data. However, it is important to bear in mind that in some cases we will not be able to process your request or conclude the use of the data immediately, as it is possible that for some legal obligation, we require to continue processing your personal data. You must also consider that for certain purposes the revocation of your consent will mean that we will not be able to continue providing the service you requested or the conclusion of your relationship with us.

    To revoke your consent you must submit your request through the indicated means and follow the procedure established in this Privacy Notice for the exercise of the ARCO rights.

    The information and/or documentation that the application must contain is the following:

    1. Name of the holder and address or other means to communicate the response to the request;
    2. The documents that prove the identity or, where appropriate, the legal representation of the holder;
    3. A clear and precise description of the personal data in respect of which the holder seeks to revoke the consent, indicating whether the revocation is partial or total, and
    4. Any other element or document that facilitates the location of the personal data.

    How can you limit the use or disclosure of your personal information?

    In order for you to limit the use and disclosure of your personal information, you must submit your request through the indicated means and follow the procedure established in this Privacy Notice for the exercise of the ARCO rights.

    The information and/or documentation that the application must contain is the following:

    1. Name of the holder and address or other means to communicate the response to the request;
    2. The documents that prove the identity or, where appropriate, the legal representation of the holder;
    3. A clear and precise description of the personal data in respect of which the holder seeks to limit the use or disclosure; and
    4. Any other element or document that facilitates the location of the personal data.

    The use of tracking technologies in our website

    We hereby inform you that we use cookies, web beacons or other technologies in our website, through which it is possible to monitor your behavior as an internet user, as well as to provide you with a better service and experience when browsing our site. The personal data that we collect through these technologies will only be used to identify users’ navigation preferences.

    The personal data that we obtain from these tracking technologies is the following: name, email, company, telephone number and country.

    We also hereby inform you that the personal data obtained through these technologies is not shared with individuals, companies, organizations or any third party outside the BMV Group.

    These technologies can be disabled by accessing the settings or preferences of your browser and searching for the option to disable cookies or not to use cookies. We remind you that the option to disable these technologies may vary according to the technology platform, browser and mobile device used to visit our site.


    How can you know about changes in this Privacy Notice?

    This Privacy Notice may be subject to changes or updates arising from new legal requirements, from our own needs for the products or services we offer, from our privacy practices, from changes in our business model or other causes.

    We are committed to keep you informed of any changes to this Privacy Notice through the website www.bmv.com.mx.

    The procedure through which notifications about changes or updates to this Privacy Notice will be carried out is as follows:

    By updating the Privacy Notice on the referred website and/or by sending the updated Privacy Notice to the holders of personal data and/or through notices in our offices.

    Your consent for the processing and transfer of your personal data

    I agree to the processing and transfer of my personal data in accordance with the terms and conditions set forth in this Privacy Notice. YES [ ] NO [ ]


    Holder’s name and signature: ____________________________________


    Last Update: 08/14/2020


    1(i) Corporativo Mexicano del Mercado de Valores, S.A. de C.V.
     (ii) S.D. Indeval Institución para el Depósito de Valores, S.A. de C.V.
     (iii) Contraparte Central de Valores de México, S.A. de C.V.
     (iv) Mexder, Mercado Mexicano de Derivados, S.A. de C.V.
     (v) Valuación Operativa y Referencias de Mercado, S.A. de C.V.
     (vi) Asigna, Compensación y Liquidación, fideicomiso F/30,430
     (vii) SIF ICAP, S.A. de C.V


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    Links of interest
    S.D Indeval, Institución para el Depósito de Valores © 2021
    Paseo de la Reforma # 255, Piso 3, Colonia Cuauhtémoc, Delegación Cuauhtémoc, C.P. 06500, CDMX.

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