AU-A.2.3
A list of recent changes made to this Module is provided below:
Module Ref. | Change Date | Description of Changes |
AU-A.1.3 | 07/2006 | Deletion of reference to 'acting as a trust service provider'. |
AU-1.1.13 | 07/2006 | Deletion of reference to 'acting as a trust service provider'. |
AU-1.1.14 | 07/2006 | Clarification of scope of exemption. |
AU-1.4.50 | 07/2006 | Deletion of paragraph relating to 'acting as a trust service provider'. |
AU-1.4.51 | 07/2006 | Deletion of paragraph relating to 'acting as a trust service provider'. |
AU-A.1 | 07/2007 |
Changes to reflect new CBB Law and reclassification of |
AU-1.3 | 07/2007 |
Deletion of this Section to reflect reclassification of |
AU-1.4 | 07/2007 |
Clarification of exemption in Rule AU-1.4.8; and minor change to definition of |
AU-4 | 07/2007 |
Chapter deleted to reflect reclassification of |
AU-5.1 | 07/2007 | Section amended to reflect new procedures reflecting CBB Law. |
AU-5.3 | 07/2007 |
Deleted following reclassification of |
AU-5.4 | 07/2007 | Amended to reflect new CBB Law procedures. |
AU-5.5 | 07/2007 | Amended to reflect new CBB Law procedures. |
AU-6 | 07/2007 | New Chapter AU-6 on application and license fees (old material on fees, previously contained in Module GR, deleted). |
AU-5.1.5 and 5.1.5A | 01/2008 | Clarified CBB's requirements for letters of comfort and/or letters of guarantee. |
AU-5.1.13 | 01/2008 | Clarified CBB's requirements for items that must be in place within 6 months of a new license being issued. |
AU-1.1.18 | 04/2008 |
Clarified that |
AU-5.2.2 | 04/2008 | Clarified to whom Form 3 should be sent to if dealing with a request for an appointment of MLRO from an existing investment firm licensee. |
AU-5.5.5 | 04/2008 | Outlined CBB's requirements in instances where a controlled function becomes vacant. |
AU-5.2.5 | 07/2008 | Clarified that the refusal decision by the CBB to grant a person 'approved person' status is issued to the investment firm licensee |
AU-5.2.6 | 07/2008 | Added cross reference. |
AU-1.1.18 | 10/2009 | Clarified that Category 3 investment firms must refrain from receiving fees or commissions from parties other than clients. |
AU-1.1.24 | 10/2009 | Paragraph changed from Guidance to Rule. |
AU-1.2 | 10/2009 | Amended to reflect requirements of Modules HC and RM. |
AU-1.2.2 | 10/2009 | Controlled function of Deputy MLRO added. |
AU-1.2.15 | 10/2009 | New Rule added to clarify definition of Compliance Officer and MLRO/Deputy MLRO. |
AU-1.4.11 | 10/2009 | Clarified that dealing in financial instruments as principal includes underwriting and private placement. |
AU-1.4.19 | 10/2009 | Clarified that dealing in financial instruments as agent does not include execution of deals. |
AU-2.3 | 10/2009 | Updated to include CBB's requirements for controllers. |
AU-5.1.5 | 10/2009 | Clarified that copy of commercial registration certificate is required for existing Bahraini companies only. |
AU-5.2 | 10/2009 | Updated to include CBB's information requirements for the appointment of approved persons. |