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C4-1.1.27

Category 4 investment firms must maintain the following records in original, hard copy or digital form 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) Correspondence with their investors, and related parties;
(e) Reports prepared by the category 4 investment firm’s internal and external auditors and compliance officer; and
(f) Employee training manuals and records.
Added: January 2022