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AU-A.1.3

Past version: Effective from 19 Jul 2025 to 30 Jun 2007
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Persons who provide any of the following regulated investment services within or from the Kingdom of Bahrain, and are not otherwise licensed by BMA as a bank, are required to be licensed by BMA as an investment firm licensee:

a) Dealing in financial instruments as principal
b) Dealing in financial instruments as agent
c) Arranging deals in financial instruments
d) Managing financial instruments
e) Safeguarding financial instruments (i.e. Custodian)
f) Advising on financial instruments
g) Operating a Collective Investment Undertaking