BR-2.1 BR-2.1 Introduction
BR-2.1.1
All notifications and approvals required in this Chapter are to be submitted by
investment firm licensees in writing.Adopted: July 2007BR-2.1.2
In this Module, the term 'in writing' includes electronic communication capable of being reproduced in paper form.
Adopted: July 2007BR-2.1.3
An
investment firm licensee must make the notifications and approvals required in Chapter BR-2 immediately it becomes aware, or has information which reasonably suggests, that any of the matters in Chapter BR-2 have occurred, may have occurred or may occur in the near future.Amended: October 2009
Adopted: July 2007BR-2.1.4
The requirements imposed on
investment firm licensees under this Chapter apply whether the event relates to a matter that has occurred in Bahrain or in any other jurisdiction.Adopted: July 2007BR-2.1.5
Investment firm licensees are required to provide the CBB with a range of information to enable it to monitor theinvestment firm licensee's compliance with Volume 4 of the CBB Rulebook. Some of this information is provided through regular reports, whereas others are in response to the occurrence of a particular event (such as a change in name or address). The following lists the commonly occurring reports for which aninvestment firm licensee will be required to notify the CBB or seek its approval.Adopted: July 2007
