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-1.2 Approved Persons
AU-1.3
[This Section deleted 07/2007]
AU-1.4 Definition of Regulated Investment Services
AU-1.4.1
AU-1.4.2
General
E
xclusions
Dealing in
F
inancial
I
nstruments as Principal
AU-1.4.11
AU-1.4.11A
AU-1.4.11B
AU-1.4.12
AU-1.4.13
AU-1.4.14
AU-1.4.15
AU-1.4.16
Dealing in
F
inancial
I
nstruments as Agent
Arranging Deals in
F
inancial
I
nstruments
Managing Financial Instruments
Safeguarding Financial Instruments (i.e. Custodian)
Advising on Financial Instruments
Operating a Collective Investment Undertaking
(i.e.
operator
)
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