Licensing and Registration
Revised Procedure for Licensing and Registration – Stock Broker / Stock Dealer
The Securities and Exchange Commission of Sri Lanka (SEC) in an effort to streamline the licensing and registration process, has reviewed all documents required for the said purpose and made arrangements to simplify the applications, standardize the format of the affidavit and provide details of documents required under each title document to facilitate the licensing and registration process.
Application for Grant of License as Stock Broker / Stock Dealer – pdf
Application for Grant of License as Stock Broker / Stock Dealer – word
Application for Renewal of License as Stock Broker / Stock Dealer – pdf
Application for Grant of License as Stock Broker / Stock Dealer – word
Revised Procedure for Licensing and Registration – Margin Provider
The Securities and Exchange Commission of Sri Lanka (SEC) in an effort to streamline the licensing and registration process, has reviewed all documents required for the said purpose and made arrangements to simplify the applications, standardize the format of the affidavit and provide details of documents required under each title document to facilitate the licensing and registration process.
Application for Grant of Registration as Margin Provider – pdf
Application for Grant of Registration as Margin Provider – word
Application for Renewal of Registration as Margin Provider – pdf
Application for Renewal of Registration as Margin Provider – word
Revised Procedure for Licensing and Registration – Investment Manager
The Securities and Exchange Commission of Sri Lanka (SEC) in an effort to streamline the licensing and registration process, has reviewed all documents required for the said purpose and made arrangements to simplify the applications, standardize the format of the affidavit and provide details of documents required under each title document to facilitate the licensing and registration process.
Application for Grant of Registration as Investment Manager – pdf
Application for Grant of Registration as Investment Manager – word
Application for Renewal of Registration as Investment Manager – pdf
Application for Renewal of Registration as Investment Manager – word
Revised Procedure for Licensing and Registration – Underwriters
The Securities and Exchange Commission of Sri Lanka (SEC) in an effort to streamline the licensing and registration process, has reviewed all documents required for the said purpose and made arrangements to simplify the applications, standardize the format of the affidavit and provide details of documents required under each title document to facilitate the licensing and registration process.
Application for Grant of Registration as Underwriters – pdf
Application for Grant of Registration as Underwriters – word
Application for Renewal of Registration as Underwriters – pdf
Application for Renewal of Registration as Underwriters – word
Revised Procedure for Licensing and Registration – Credit Rating Agencies
The Securities and Exchange Commission of Sri Lanka (SEC) in an effort to streamline the licensing and registration process, has reviewed all documents required for the said purpose and made arrangements to simplify the applications, standardize the format of the affidavit and provide details of documents required under each title document to facilitate the licensing and registration process.
Application for Grant of Registration as Credit Rating Agencies – pdf
Application for Grant of Registration as Credit Rating Agencies – word
Application for Renewal of Registration as Credit Rating Agencies – pdf
Application for Renewal of Registration as Credit Rating Agencies – word
Revised Procedure for Licensing and Registration – Unit Trust
The Securities and Exchange Commission of Sri Lanka (SEC) in an effort to streamline the licensing and registration process, has reviewed all documents required for the said purpose and made arrangements to simplify the applications, standardize the format of the affidavit and provide details of documents required under each title document to facilitate the licensing and registration process.
New License to operate a Unit Trust Fund