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  • 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