The Superintendency of Banks reformed Chapter V “Control rules for the certification of compliance officers of entities supervised by the Superintendency of Banks” of Book I “Control rules for public and private financial sector bodies” of the Codified Rules of the Superintendency of Banks. The main provisions of the reform are:

  • Previously qualified natural persons who show and provide evidence of knowledge and experience in the prevention of money laundering and funding of crimes such as terrorism may become compliance officers of institutions supervised by the Superintendency of Banks. The certification is the authorization issued by the Superintendency of Banks that enables compliance officers to offer their services to the institutions controlled by that body.
  • Compliance officers should be senior management officials and should have decision-making abilities and autonomy to carry out their duties.
  • To perform their duties, compliance officers shall be appointed by the board of directors.
  • They will provide their services full-time and exclusively for the body or financial group to which they have been appointed.
  • A main compliance officer may be appointed on a part-time basis for financial service institutions such as currency exchange offices, bonded warehouses and secondary mortgage market development corporations and ancillary services companies.
  • The following cases, among others, disqualify or prevent compliance officers from acting as such:
    • Own or manage the entity to which the service is to be provided.
    • Having write-offs with a public or private financial sector entity in the last five years.
    • Being a public servant, except for public financial sector entities.
    • Being in arrears as direct debtors of their obligations for over sixty days with any entity of the national financial system and with social security entities.
    • Not being current with tax obligations with the Internal Revenue Service.
    • Having bad checks with outstanding fines or closed checking accounts due to non-compliance with legal provisions.
    • Have been sentenced for committing crimes or have been declared judicially responsible for irregularities in the administration of public or private entities.
  • Temporary absence of the principal or deputy compliance officer must not exceed thirty days, except in justified cases. Permanent absence must be notified to the Superintendency of Banks within three days and a new principal and/or substitute compliance officer will be appointed in no more than thirty days.

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