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AU-A.1.2

Persons who provide any of the following regulated investment services within or from the Kingdom of Bahrain, and are not otherwise licensed by CBB as a bank, are required to be licensed by CBB 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. a custodian);
f) Advising on financial instruments; and
g) Operating a collective investment undertaking (i.e. an operator)
Amended: July 2007