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  • Category 3 Investment Firms

    • AU-2.1.2

      The legal status of a Category 3 investment firm licensee must be:

      (i) A Bahraini joint stock company (BSC);
      (ii) A Bahraini company with limited liability ('WLL'); or
      (iii) A branch resident in Bahrain of a company incorporated under the laws of its territory of incorporation and (where local regulation so requires) authorised as market-maker in that territory.
      Amended: July 2007

    • AU-2.1.3

      Where the investment firm licensee is a branch of an overseas investment firm, an application for licensing will be considered after extensive enquiries into the firm's shareholders, management structure, financial position, its activities and how these activities are regulated.

      Amended: July 2007