Central Bank of Bahrain - Rulebooks & Regulatory Update

CBB Volume 4: Contents

Central Bank of Bahrain Volume 4—Investment Business

Part A

AU-B Scope of Application

AU-1 Authorisation Requirements

AU-1.1.9

Investment Firm License Categories

Combining Regulated Investment Services

Suitability

Conventional and Islamic Investment Firms

AU-1.2 Approved Persons

AU-1.3 [This Section deleted 07/2007]

AU-1.4 Definition of Regulated Investment Services

AU-1.5 Definition of Financial Instruments

AU-2 Licensing Conditions

AU-3 Approved Persons Conditions

AU-4 [This Chapter deleted 07/2007]

AU-5 Information Requirements and Processes

AU-6 License Fees

PB Principles of Business

HC High-Level Controls Module

AA Auditors and Accounting Standards

GR General Requirements

Business Standards

Reporting Requirements

Enforcement & Redress

Sector Guides

Part B

Quarterly Updates

Ad-hoc Communications

Location: Central Bank of Bahrain Volume 4—Investment Business > Part A > High Level Standards > AU Authorisation > AU-1 Authorisation Requirements > AU-1.1 Licensing > AU-1.1.9

AU-1.1.8

AU-1.1.10

AU-1.1.9

The CBB will review the application and duly advise the applicant in writing when it has:

(a) Granted the application without conditions;

(b) Granted the application subject to conditions specified by the CBB; or

(c) Refused the application, stating the grounds on which the application has been refused and the process for appealing against that decision.

Amended: July 2007

Versions
(2 Versions)

Up to Jun 30 2007

Jul 1 2007 onwards

AU-1.1.8

AU-1.1.10