Registered Investment Advisor (RIA)

Registered Investment Advisor (RIA)

Registered Investment Advisor (RIA) status is a mandatory qualification for an Investment Advisor in a stock broking company to deal with investors. Any person who has completed the Certificate in Capital Markets (CCM) qualification could become a Registered Investment Advisor after completing the relevant industry experience. In order to maintain the RIA status, Investment Advisors are required to attend minimum of 2 Continuous Professional Development Programmes (CPD’s) for a year. The SEC advices investors to deal with Registered Investment Advisors licensed by the Securities and Exchange Commission of Sri Lanka (Refer the attached list)  

RIA list as at 1st January 2018