Other Warnings
Type of enforcement action
Name of Party
Conduct and outcome
Warning
Warner Andre Lowe
The Commission decided to issue a letter of Warning to this individual for his conduct pertaining to trades in certain shares of several companies listed on the Colombo Stock Exchange executed in the securities accounts of two clients during the period of 01st December 2015 to 20th May 2017 together with another individual.
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Date of Issue: 04th March 2024
Warning
Y.M Dammika Anuradha Yapabandara
The SEC issued a letter of warning against the publication of social media posts regarding certain securities listed on the Colombo Stock Exchange that tantamount to recommendations that influence other investors to make investment decisions regarding those securities without a proper basis.
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Date of Issue: 19th July 2023
Warning
H.D.R.T. Hettiarachchi
The SEC issued a letter of warning against the publication of the name, title and the logo of the word “Stock Exchange” on the Facebook Group titled “කොටස් වෙළඳපොළ ආයෝජකයෝ”/”Kotas Weladapola Ayojakayo” which appear to imply or tend to create the belief that such group has a connection to a Stock Exchange licensed by the SEC.
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Date of Issue: 19th July 2023
Warning
M.V.D. Salila Priyanka Vithanage
The SEC issued a letter of warning against publication of the name, title and the logo of the word “Stock Exchange” on the Facebook Group titled “කොටස් වෙළඳපොළ ” which appear to imply or tend to create the belief that such group has a connection to a Stock Exchange licensed by the SEC.
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Date of Issue: 19th July 2023
Warning
U.S.P.K Liyanage
Allowing the use of his CDS Account to his son, Mr. Dushan Imalka Kirumbara Liyanage and its login details without following proper procedure.
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Date of Issue: 03rd May 2023
Kindly note that the names of certain personnel against whom enforcement action were taken in the past pertaining to this offence have been removed in accordance with the retention policy for publications.