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  • Scope

    • DRA-B.1.1

      This Module shall apply to complaints and disputes relating to:

      (a) Any conduct or behaviour occurring within Bahrain; or any transaction or expected transaction done by or on behalf of any person(s) within Bahrain in relation to securities offered, issued or listed in Bahrain or elsewhere;
      (b) Any conduct or behaviour occurring outside Bahrain or any transaction or expected transaction done by or on behalf of any person(s) outside Bahrain in relation to securities offered, listed or issued in Bahrain;
      (c) Any conduct or behaviour occurring within Bahrain, or any transaction or expected transaction done by or on behalf of any person(s) within Bahrain in relation to:
      (i) Futures contracts, whether traded on a futures market in Bahrain or elsewhere; or
      (ii) Leveraged foreign exchange trading contracts, whether in Bahrain or elsewhere; and
      (d) Any conduct or behaviour occurring outside Bahrain; or any transaction or expected transaction done by or on behalf of any person(s) outside Bahrain in relation to:
      (i) Futures contracts traded on a futures market in Bahrain;
      (ii) Leveraged foreign exchange trading contracts in Bahrain; or
      (iii) Leveraged foreign exchange trading contracts that are accessible from Bahrain.
      July 2010

    • DRA-B.1.2

      This Module contains the CBB's Directive relating to dispute resolution, investors' complaints handling and arbitration mechanism and is issued under the powers available to the CBB under Article 38 of the CBB Law. The Directive under this Module is applicable to all Capital Market Service Providers (CMSPs), market participants and relevant persons, including but not limited to issuers of securities or any person acting on their behalf, licensed exchanges, licensed market operators, licensed clearing houses, depositories, members of SROs, investment firms, collective investment undertakings, business trusts, listed companies, any person acting for or on behalf of listed companies, shareholders of listed companies, share registrars, lead managers, underwriters, professional advisors, listing agents, auditors, financial analysts and any other person who engages or encourages others to engage in any acts of commission or omission covered by the scope of this Module, irrespective of whether such person is a market participant or not. These rules are issued by way of a legally-binding Directive.

      July 2010