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GR-1.3.1

Investment firm licensees must maintain the following records in original form or in hard copy at their premises in Bahrain:

(a) Internal policies, procedures and operating manuals;
(b) Corporate records, including minutes of shareholders', Directors' and management meetings;
(c) Correspondence with the CBB and records relevant to monitoring compliance with CBB requirements;
(d) Reports prepared by the investment firm licensee's internal and external auditors and compliance officer; and
(e) Employee training manuals and records.
Amended: January 2012
Amended: July 2007