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  • Reports Prepared by Licensee

    • BR-1.4.1

      Investment firm licensees must submit, within 3 months of their financial year-end, a report on their controllers (ref. GR-5.1.8 and GR-5.5.3).

      Amended: October 2015
      Adopted: October 2009

    • BR-1.4.2

      Investment firm licensees must submit to the CBB, within 3 months of their financial year-end, a report on their close links (ref. GR-6.1.3).

      Adopted: October 2009

    • BR-1.4.3

      Where the investment firm licensee's group or parent reports its own capital adequacy position to its regulatory authority (on a group or 'solo' basis), a copy of this calculation must be provided to the CBB within 30 calendar days from the due date to the other regulatory authority (ref. RM-8.1.12). This requirement is applicable to Category 1 investment firm and Category 2 investment firm licensees only.

      Amended: July 2012
      Adopted: October 2009

    • BR-1.4.4

      Investment firm licensees must summarise the results of the licensee's annual board review referred to in Paragraph HC-1.11.1 in the form of a written certification, to be signed by all Board members, and sent to the CBB within 3 months of the licensee's financial year-end (ref. HC-1.11.2). This requirement is applicable to Category 1 investment firm and Category 2 investment firm licensees only.

      Amended: July 2012
      Adopted: October 2009

    • BR-1.4.5

      As specified in Article 62 of the CBB Law, an investment firm licensee must submit to the CBB its final audited accounts within 3 months of the licensee's financial year-end. Such accounts should be submitted along with the Management Letter prepared by the Auditors for the financial year.

      Adopted: October 2009

    • BR-1.4.6

      Investment firm licensees that are listed companies must observe, while complying with Rule BR-1.4.5, all applicable CBB Capital Market and licensed exchange requirements, as updated by the relevant authorities, with respect to their final audited accounts. These other requirements are currently issued separately, in the form of individual directives issued by the CBB's Capital Markets Supervision Directorate and the licensed exchange (ref. UG-A.1.5).

      Amended: January 2011
      Adopted: July 2010

    • BR-1.4.6A

      Bahraini investment firm licensees must submit to the CBB audited financial statements of their subsidiaries within 3 months of the year end of the subsidiary (ref. GR-10.1.8B).

      Added: October 2016

    • BR-1.4.7

      Investment firm licensees must submit the reports referred to in Paragraph FC-4.2.1 to the Financial Intelligence Unit at the Ministry of the Interior, and submit a copy of the reports to the CBB's Compliance Directorate (FC-4.2.3).

      Amended: July 2010
      Adopted: October 2009

    • BR-1.4.8

      Investment firm licensees must report any actual or attempted fraud incident (however small) to the appropriate authorities (including the CBB) (ref. FC-10.1.4). This requirement is applicable to Category 1 and Category 2 investment firm licensees only.

      Amended: July 2010
      Adopted: October 2009

    • BR-1.4.9

      Investment firm licensees must submit a Professional Indemnity Insurance Return (Form PIIR) on a quarterly basis (ref. GR-9.1.1). This requirement is applicable to Category 2 and Category 3 investment firm licensees only.

      Amended: July 2010
      Adopted: October 2009

    • BR-1.4.9A

      Investment firm licensees must submit quarterly to the CBB's Compliance Directorate a report summarising the outcome of their complaint handling procedures in accordance with the requirements of Paragraph BC-3.7.1.

      Adopted: October 2011

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