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  • EN-B.1 EN-B.1 Scope

    • EN-B.1.1

      The contents of this Module mostly consist of Guidance material, explaining the different measures that CBB can employ to ensure compliance with Volume 4 (Investment Business). Certain Rules, applicable to investment firm licensees, are however contained in Paragraphs EN-B.3.1, EN-B.4.5, EN-2.2.4, EN-2.2.10, and EN-8.2.4.

      Amended: January 2007

    • EN-B.1.2

      With the exception of Chapter EN-9, Chapters EN-1 to EN-10 of this Module are generally relevant to investment firm licensees. In the case of overseas investment firm licensees, the CBB's enforcement powers apply only to the branch operating in the Kingdom of Bahrain.

      Amended: January 2007

    • EN-B.1.3

      In addition, Chapters EN-8 and EN-10 of this Module are relevant to approved persons, whilst Chapter EN-9 is relevant to registered persons.

      Amended: January 2007

    • EN-B.1.4

      Section EN-5 dealing with financial penalties is applicable to investment firm licensees as well as to persons referred to in paragraph (b) of Article (68 bis 1) of the CBB Law.

      Added: April 2016