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AU-1.1.1

No person may:

(a) Undertake (or hold themselves out to undertake) regulated investment servicesG , by way of business, within or from the Kingdom of Bahrain unless duly licensed by the CBB;
(b) Hold themselves out to be licensed by the CBB unless they have as a matter of fact been so licensed; or
(c) Market any financial servicesG in the Kingdom of Bahrain unless:
(i) Allowed to do by the terms of a license issued by the CBB;
(ii) The activities come within the terms of an exemption granted by the CBB by way of a Directive; or
(iii) Has obtained the express written permission of the CBB to offer financial servicesG .
Amended: January 2013
Amended: July 2007
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