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  • GR-1.3 GR-1.3 Other Records

    • Corporate Records

      • GR-1.3.1

        Investment firm licensees must maintain the following records in original form or in hard copy at their premises in Bahrain:

        (a) Internal policies, procedures and operating manuals;
        (b) Corporate records, including minutes of shareholders', Directors' and management meetings;
        (c) Correspondence with the CBB and records relevant to monitoring compliance with CBB requirements;
        (d) Reports prepared by the investment firm licensee's internal and external auditors and compliance officer; and
        (e) Employee training manuals and records.
        Amended: January 2012
        Amended: July 2007

      • GR-1.3.2

        In the case of Bahraini investment firm licensees, these requirements apply to the licensee as a whole, including any overseas branches. In the case of overseas investment firm licensees, all the requirements of Chapter GR-1 are limited to the business booked in their branch in Bahrain and the records of that branch (see GR-1.1.7).

        Amended: July 2007

    • Customer Records

      • GR-1.3.3

        Record-keeping requirements with respect to customer records, including customer identification and due diligence records, are contained in Module FC (Financial Crime).