Mexico - Apply for Investment Advisor License

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Procedure

Apply In-Person:

1. To Apply for Investment Advisor License, the applicant has to approach the Comisión Nacional Bancaria y de Valores link
2. An application form will be provided to the applicant by the concerned officer.
3. The applicant has to fill in all the necessary details in the application form. (Incomplete applications are not accepted)
4. Make sure that the applicant has attached all the necessary documents that are mentioned in the “Required Documents” section of this page.
5. The applicant has to attach the photocopies of the required documents along with the application form while submitting.
6. Submit all the documents with the completed form to the concerned officer.
7. The applicant has to pay the prescribed fee as requested by the authority.
8. After receiving the application, the concerned authority will check the submitted application and document set. If all are in place, the application will be accepted.
9. Then the application will be processed further.
10. The CNBV may conduct background checks on applicants, including reviewing their professional history, criminal record, and credit history.
11. The CNBV will assess your application, review the documentation, and evaluate your qualifications.
12. If the applicant meets the requirements, the CNBV will grant an Investment Advisor License, enabling you to provide investment advisory services in Mexico.
13. This entire process can be completed within 2 weeks or as per the timeline advised by the respective department authority.

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Required Documents

• Application form
• ID proof (Birth Certificate, national Identity card, etc)
• Address proof (Driving license, utility bill, etc)
• Proof of education
• Experience documentation
• Character references
• Any other documents (If required)

Office Locations & Contacts

Comisión Nacional Bancaria y de Valores
Avenida Insurgentes Sur 1971 Colonia Guadalupe Inn 01020 Ciudad de México
Teléfono: 55 1454 6000
Email - [email protected]
Contact link

Eligibility

To be eligible to apply for an Investment Advisor License in Mexico, you must meet the following requirements:

• Be a Mexican citizen or a foreigner with a permanent residency visa in Mexico.
• Have a bachelor's degree in finance, accounting, economics, or a related field.
• Have at least two years of experience working in the financial industry.
• Pass a background check and a series of exams administered by the Comisión Nacional Bancaria y de Valores (CNBV).

Fees

• The applicant has to pay the prescribed fee as requested by the authority.

Validity

• The validity of an Investment Advisor License in Mexico is two years.

Documents to Use

Please attach documents that can be used by people. e.g. links

Sample Documents

Please attach sample completed documents that would help other people.

Processing Time

• This entire registration process can be completed within 2 weeks or as per the timeline advised by the respective department authority.

Related Videos

Videos explaining the procedure or to fill the applications.
Attach videos using the following tag <&video type='website'>video ID|width|height<&/video&> from external websites.
Please remove the '&' inside the tags during implementation.
Website = allocine, blip, dailymotion, facebook, gametrailers, googlevideo, html5, metacafe, myspace, revver,
sevenload, viddler, vimeo, youku, youtube
width = 560, height = 340, Video ID = Can be obtained from the URL of webpage where the video is displayed.
e.g In the following url 'http://www.youtube.com/watch?v=Y0US7oR_t3M' Video ID is 'Y0US7oR_t3M'.

Instructions

• Applicants must complete the application form before submitting it. Incomplete applications will not be accepted.
• Applicants must provide genuine information while applying for this procedure.

Required Information

• Name
• Surname
• Address
• ZIP code
• Gender
• Mobile number
• Fax
• Email
• Nationality
• Mailing address
• Other details
• Declaration
• Date
• Signature

Need for the Document

• An Investment Advisor License in Mexico, known as "Licencia de Asesor en Inversiones," is a legal authorization granted by the National Banking and Securities Commission (Comisión Nacional Bancaria y de Valores, CNBV) that allows individuals or entities to provide investment advisory services to clients in Mexico.

Information which might help

• The Investment Advisor License is required for professionals or firms that offer advice on securities or investment products to individuals, corporations, or other entities seeking assistance in managing their investments.
• This includes providing recommendations on buying or selling securities, creating investment portfolios, offering financial planning services, and other related activities.

Other uses of the Document/Certificate

Please explain what are other uses of obtaining this document/certificate.
e.g. Birth Certificate can be used as proof of identity.

External Links

Link

Others

• Obtaining an Investment Advisor License demonstrates that the licensee has met the regulatory requirements set by the CNBV and has the necessary qualifications, knowledge, and expertise to offer investment advisory services in accordance with Mexican laws and regulations.
• It is designed to protect investors and ensure that those providing investment advice adhere to professional standards and act in the best interests of their clients.