Custom print

GR-1.3.1

Past version: Effective from 01 Jul 2007 to 31 Dec 2011
To view other versions open the versions tab on the right

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
(e) Employee training manuals and records.
Amended: July 2007