Others
Type of enforcement action
Name of Party
Conduct and outcome
Warning
Mandadige Ajith Rohan Fernando
The Commission after having considered the findings of the Investigations Division, decided to warn this individual against his failure to comply with the highest standards of professional conduct and integrity required of a person dealing with clients in terms of section 3.1 of the CSE Stockbroker Rules and avoid conflicts of interest, that arose due to his trading in the CDS Accounts of his family members while being employed as an investment advisor.
Date of Warning : 28th November 2023
Warning
SC Securities (Pvt) Limited
Violation of Rule 2.5.1 of the then Stockbroker Rules of the Colombo Stock Exchange, on 6th March 2014 by forwarding the online Trading credentials of a client to a third party without the prior written consent of the concerned client.
Date of Warning : 28th November 2023