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ES-1.3.3

With respect to licensing, an investment firm license is required by all persons undertaking, by way of business, regulated investment services within or from the Kingdom of Bahrain. Regulated investment services are fully defined in Section AU-1.4, but in summary they cover the following activities:

(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: January 2007