{"id":2064,"date":"2021-11-10T03:11:59","date_gmt":"2021-11-10T09:11:59","guid":{"rendered":"https:\/\/rtydc.mkt360grados.com\/?p=2064"},"modified":"2024-08-06T19:07:08","modified_gmt":"2024-08-07T01:07:08","slug":"auditoria-en-materia-de-prevencion","status":"publish","type":"post","link":"https:\/\/rivtrev.com\/en\/auditoria-en-materia-de-prevencion\/","title":{"rendered":"Auditoria en materia de prevenci\u00f3n"},"content":{"rendered":"
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\n\t\t\t\t\t\t\n\t\t\t\t\t\t\tAuditor\u00eda en materia de prevenci\u00f3n de lavado de dinero y financiamiento al terrorismo\t\t\t\t\t\t<\/span>\n\t\t\t\t\t<\/h3>\n\t\t\t\t\n\t\t\t\t\n\t\t\t<\/div>\n\t\t\t\n\t\t<\/div>\n\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
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10 de Noviembre de 2021<\/h2>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
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\n\t\t\t\t\t\t\n\t\t\t\t\t\t\tAudit on the prevention of money laundering and terrorist financing\t\t\t\t\t\t<\/span>\n\t\t\t\t\t<\/h3>\n\t\t\t\t\n\t\t\t\t\n\t\t\t<\/div>\n\t\t\t\n\t\t<\/div>\n\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
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En los \u00faltimos meses habido muchos cambios en las disposiciones de car\u00e1cter general en materia de prevenci\u00f3n de lavado de dinero y financiamiento al terrorismo (PLD\/FT).<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t

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Con los nuevos Lineamientos para la elaboraci\u00f3n del informe de auditor\u00eda para evaluar el cumplimiento de las disposiciones de car\u00e1cter general en materia de prevenci\u00f3n de operaciones con recursos de procedencia il\u00edcita y financiamiento al terrorismo (\u201cLineamientos\u201d) publicado el pasado 18 de octubre podemos establecer la importancia de la auditoria.\u00a0<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t

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  1. Es una obligaci\u00f3n regulatoria para la mayor\u00eda de los sujetos obligados (SO).<\/li>
  2. Eval\u00faa y dictamina la efectividad del cumplimiento en materia de PLD\/FT.<\/li>
  3. Debe estar basada en un an\u00e1lisis de riesgo.<\/li>
  4. Debe generar valor al SO detectando \u00e1reas de oportunidad en sus programas de PLD\/FT<\/li>
  5. Permite generar un plan de correcci\u00f3n para evitar sanciones<\/li>
  6. Se debe remitir el informe ante la Comisi\u00f3n Nacional Bancaria y de Valores.<\/li>
  7. El informe de auditoria debe ser generado por un auditor externo certificado.<\/li><\/ol>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
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    En Rivadeneyra, Trevi\u00f1o y de Campo S.C., le estamos dando seguimiento a este tema y hemos estructurado diversas estrategias para su implementaci\u00f3n para poder bridarle la asesor\u00eda legal que en su caso requiera. Se elabora este documento con fines informativos. El contenido no debe considerarse como un consejo u opini\u00f3n legal.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t

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    Esperando que la presente informaci\u00f3n sea de su utilidad, quedamos a sus \u00f3rdenes para cualquier duda o comentario adicional que pudieran surgir al respecto,\u00a0incluyendo aclarar si su empresa pudiera considerarse como sujeto obligado. \u00a0Dentro de nuestro equipo de trabajo contamos con un\u00a0Oficial de Cumplimiento, Auditor externo certificado en materia de prevenci\u00f3n de operaciones con recursos de procedencia il\u00edcita y financiamiento al terrorismo registrado\u00a0<\/u><\/em>ante la CNBV.<\/u><\/p>

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    In recent months there have been many changes in the general provisions on the prevention of money laundering and financing of terrorism (AML\/FT).<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t

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    With the new Guidelines for the preparation of the audit report to evaluate compliance with the general provisions on the prevention of transactions with resources of illicit origin and financing of terrorism (\u00abGuidelines\u00bb) published last October 18, we can establish the importance of the audit.\u00a0<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t

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    1. It is a regulatory obligation for most regulated entities (SO).<\/li>
    2. Evaluates and assesses the effectiveness of AML\/FT compliance.<\/li>
    3. Must be based on a risk analysis.<\/li>
    4. It must generate value to the SO by detecting areas of opportunity in its AML\/FT programs.<\/li>
    5. Allows to generate a correction plan to avoid sanctions<\/li>
    6. The report must be submitted to the National Banking and Securities Commission.<\/li>
    7. The audit report must be generated by a certified external auditor.<\/li><\/ol>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
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      At Rivadeneyra, Trevi\u00f1o y de Campo S.C., we are following up on this issue and have structured various strategies for its implementation in order to provide you with the legal advice you may require in each case. This document is produced for informational purposes. The content should not be construed as legal advice or opinion.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t

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      Hoping that this information will be useful to you, we remain at your service for any doubt or additional comment that may arise in this regard, including clarifying whether your company could be considered as a high-risk vulnerable activity. Within our work team we have a\u00a0Compliance Officer, an external auditor certified in the prevention of operations with resources of illicit origin and financing of terrorism registered<\/u><\/em>\u00a0with the CNBV.<\/p><\/div>

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      <\/div>
      \u00a0<\/div>
      Sincerely,<\/div>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
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      Rivadeneyra, Trevi\u00f1o y de Campo
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      \n\t\t\t\t\t\t\n\t\t\t\t\t\t\tIvann Ferrer Toledo\t\t\t\t\t\t<\/span>\n\t\t\t\t\t<\/h3>\n\t\t\t\t\n\t\t\t\t\t\t\t\t\t

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      COMPARTE este boletin
      en tus redes sociales<\/h2>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
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      • \n
        \n \n <\/i> \n <\/div>\n <\/li>\n
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        \n \n <\/i> \n <\/div>\n <\/li>\n <\/ul>\n <\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>","protected":false},"excerpt":{"rendered":"

        Auditor\u00eda en materia de prevenci\u00f3n de lavado de dinero y financiamiento al terrorismo 10 de Noviembre de 2021 Audit on the prevention of money laundering and terrorist financing En los \u00faltimos meses habido muchos cambios en las disposiciones de car\u00e1cter general en materia de prevenci\u00f3n de lavado de dinero y financiamiento al terrorismo (PLD\/FT). Con […]<\/p>","protected":false},"author":4,"featured_media":5532,"comment_status":"open","ping_status":"open","sticky":false,"template":"elementor_header_footer","format":"standard","meta":{"_acf_changed":false,"inline_featured_image":false,"ocean_post_layout":"","ocean_both_sidebars_style":"","ocean_both_sidebars_content_width":0,"ocean_both_sidebars_sidebars_width":0,"ocean_sidebar":"","ocean_second_sidebar":"","ocean_disable_margins":"enable","ocean_add_body_class":"","ocean_shortcode_before_top_bar":"","ocean_shortcode_after_top_bar":"","ocean_shortcode_before_header":"","ocean_shortcode_after_header":"","ocean_has_shortcode":"","ocean_shortcode_after_title":"","ocean_shortcode_before_footer_widgets":"","ocean_shortcode_after_footer_widgets":"","ocean_shortcode_before_footer_bottom":"","ocean_shortcode_after_footer_bottom":"","ocean_display_top_bar":"default","ocean_display_header":"default","ocean_header_style":"","ocean_center_header_left_menu":"","ocean_custom_header_template":"","ocean_custom_logo":0,"ocean_custom_retina_logo":0,"ocean_custom_logo_max_width":0,"ocean_custom_logo_tablet_max_width":0,"ocean_custom_logo_mobile_max_width":0,"ocean_custom_logo_max_height":0,"ocean_custom_logo_tablet_max_height":0,"ocean_custom_logo_mobile_max_height":0,"ocean_header_custom_menu":"","ocean_menu_typo_font_family":"","ocean_menu_typo_font_subset":"","ocean_menu_typo_font_size":0,"ocean_menu_typo_font_size_tablet":0,"ocean_menu_typo_font_size_mobile":0,"ocean_menu_typo_font_size_unit":"px","ocean_menu_typo_font_weight":"","ocean_menu_typo_font_weight_tablet":"","ocean_menu_typo_font_weight_mobile":"","ocean_menu_typo_transform":"","ocean_menu_typo_transform_tablet":"","ocean_menu_typo_transform_mobile":"","ocean_menu_typo_line_height":0,"ocean_menu_typo_line_height_tablet":0,"ocean_menu_typo_line_height_mobile":0,"ocean_menu_typo_line_height_unit":"","ocean_menu_typo_spacing":0,"ocean_menu_typo_spacing_tablet":0,"ocean_menu_typo_spacing_mobile":0,"ocean_menu_typo_spacing_unit":"","ocean_menu_link_color":"","ocean_menu_link_color_hover":"","ocean_menu_link_color_active":"","ocean_menu_link_background":"","ocean_menu_link_hover_background":"","ocean_menu_link_active_background":"","ocean_menu_social_links_bg":"","ocean_menu_social_hover_links_bg":"","ocean_menu_social_links_color":"","ocean_menu_social_hover_links_color":"","ocean_disable_title":"default","ocean_disable_heading":"default","ocean_post_title":"","ocean_post_subheading":"","ocean_post_title_style":"","ocean_post_title_background_color":"","ocean_post_title_background":0,"ocean_post_title_bg_image_position":"","ocean_post_title_bg_image_attachment":"","ocean_post_title_bg_image_repeat":"","ocean_post_title_bg_image_size":"","ocean_post_title_height":0,"ocean_post_title_bg_overlay":0.5,"ocean_post_title_bg_overlay_color":"","ocean_disable_breadcrumbs":"default","ocean_breadcrumbs_color":"","ocean_breadcrumbs_separator_color":"","ocean_breadcrumbs_links_color":"","ocean_breadcrumbs_links_hover_color":"","ocean_display_footer_widgets":"default","ocean_display_footer_bottom":"default","ocean_custom_footer_template":"","ocean_post_oembed":"","ocean_post_self_hosted_media":"","ocean_post_video_embed":"","ocean_link_format":"","ocean_link_format_target":"self","ocean_quote_format":"","ocean_quote_format_link":"post","ocean_gallery_link_images":"on","ocean_gallery_id":[],"footnotes":""},"categories":[12],"tags":[],"class_list":["post-2064","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-boletines","entry","has-media"],"acf":[],"_links":{"self":[{"href":"https:\/\/rivtrev.com\/en\/wp-json\/wp\/v2\/posts\/2064","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/rivtrev.com\/en\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/rivtrev.com\/en\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/rivtrev.com\/en\/wp-json\/wp\/v2\/users\/4"}],"replies":[{"embeddable":true,"href":"https:\/\/rivtrev.com\/en\/wp-json\/wp\/v2\/comments?post=2064"}],"version-history":[{"count":5,"href":"https:\/\/rivtrev.com\/en\/wp-json\/wp\/v2\/posts\/2064\/revisions"}],"predecessor-version":[{"id":6128,"href":"https:\/\/rivtrev.com\/en\/wp-json\/wp\/v2\/posts\/2064\/revisions\/6128"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/rivtrev.com\/en\/wp-json\/wp\/v2\/media\/5532"}],"wp:attachment":[{"href":"https:\/\/rivtrev.com\/en\/wp-json\/wp\/v2\/media?parent=2064"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/rivtrev.com\/en\/wp-json\/wp\/v2\/categories?post=2064"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/rivtrev.com\/en\/wp-json\/wp\/v2\/tags?post=2064"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}