CBB Volume 4: Contents
Central Bank of Bahrain Volume 4—Investment Business
Part A
Introduction
High Level Standards
AU Authorisation
AU-A Introduction
AU-B Scope of Application
AU-1 Authorisation Requirements
AU-1.1
Licensing
AU-1.1.1
AU-1.1.2
AU-1.1.3
AU-1.1.3A
AU-1.1.3B
AU-1.1.4
AU-1.1.5
AU-1.1.6
AU-1.1.7
AU-1.1.8
AU-1.1.9
AU-1.1.10
AU-1.1.11
Investment Firm License Categories
Combining
R
egulated
I
nvestment
S
ervices
Suitability
AU-1.1.21
AU-1.1.22
Conventional and Islamic
I
nvestment
F
irms
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
I
nstruments
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
Archived Part A
Central Bank of Bahrain Volume 4—Investment Business
Introduction