Other Warnings

Other Warnings

Type of enforcement action

Name of Party

Conduct and outcome

Warning

Mr. K.G.D.C. Rukshan

The SEC issued a letter of warning for publishing certain posts on social media, making recommendations and comments on securities trading on the Colombo Stock Exchange without a proper basis and without being a registered by the SEC as a Registered Investment Advisor.

Warning issued on 26th October 2022

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.