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

    • AU-1.1.13

      For the purposes of Volume 4 (Investment Business), Category 1 investment firmsG may undertake (subject to Rule AU-1.1.19) any regulated investment serviceG , as listed below:

      a) Dealing in financial instrumentsG as principal;
      b) Dealing in financial instrumentsG as agent;
      c) Arranging deals in financial instrumentsG ;
      d) Managing financial instrumentsG ;
      e) Safeguarding financial instrumentsG (i.e. a custodianG );
      f) Advising on financial instrumentsG ; and
      g) Operating a collective investment undertakingG (i.e. an operatorG ).
      Amended: July 2007

    • AU-1.1.14

      [This Paragraph was moved and amended to Paragraph AU-1.4.11A in January 2012].

      Amended: January 2012
      Amended: July 2007

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