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9. Brokerage and Intermediary Firms' Duties

9.1. The brokerage firms shall lay down internal guidelines on Insiders, prevention of abuse of inside information, and compliance with Disclosure Standards requirements for their staff, directors, proprietors and partners dealing in securities of any company listed or to be listed.
9.2 Other securities intermediaries service providers in the securities market of the Kingdom of Bahrain shall also lay down similar guidelines, as above.
9.3. It is the duty of insiders both permanent and temporary, to provide the brokerage firm or its representative with the written Approval, and the brokerage firm has the right to ask for it.
9.4 The brokerage firms are totally prohibited from entering any order by any permanent insider, if he has any suspicion that execution of such order may lead to violation of these Guidelines, without first verifying the approval obtained by the insiders from the Committee. Otherwise, they are considered in breach of these Guidelines and Disclosure Standards requirements.
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