Circulars issued by the SEC

Registered Market Intermediaries

• Rules for the registration of Market Intermediaries
• Credit Rating Agency
• Investment Manager
• Margin Provider
• Underwriter
• Clearing House
• List of Registered Market Intermediaries

Unit Trust Management Companies

• Background to the Unit Trust Industry
• The investment objective of the funds
• 5 Year performance Summary
• Licensing and Managing the Fund
• FAQ-Unit Trust

Investor Protection Funds

• The Compensation Fund
• The Settlement & Guarantee Fund

Investor Education

• Why Invest in Shares
• Choosing a Stockbroker
• Monitoring of Investments
• The Procedure for a Foreigner to Invest in Sri Lanka’s Capital Market