- 6 - October - 2023 Directive Issued in Respect of Imposition of Administrative Sanctions on Public Listed Companies and It’s Directors for Violations Relating to the Listing Rules of the Colombo Stock Exchange
- 05 - October - 2023 Directive Issued in terms of Section 16 (C) of The Securities and Exchange Commission of Sri Lanka ACT No.19 of 2021
- 11 September 2023 Revised Corporate Governance Rules Effective 1st October 2023
- 24-July-2023 Directive Issued on Minimum Governance Requirements Applicable to Market Intermediaries.
- 14-06-2023 Directive Issued in terms of Section 16 (C) of The Securities and Exchange Commission of Sri Lanka ACT No.19 of 2021
- 26 -04- 2023 Re: Directive Issued on Minimum Financial Requirements
- 04-04-2023 Re: Revision of Market Trading Hours – Directive issued under and in terms of Section 16 (c) of the Securities and Exchange Commission of Sri Lanka Act, No.19 of 2021.
- 24 -04- 2023 Re: Directive issued under section 16 (c) of the Securities and Exchange Commission of Sri Lanka Act No 19 of 2021
- 02-02- 2023 Re: Investment Advisors (IA) – Registering Requirements /Circular No.07 of 2023
- 14-08-2020 Directive Issued Under Section 13(C) Of the Securities and Exchange Commission of Sri Lanka Act No 36 of 1987 (As Amended) – Re: Qualification Framework for Unit Trust Industry
- 10-07-2020 Re – Instatement of Investment Advisors (IA)
- 31-03-2020 Directive issued under and in terms of Section 13(c) of the Securities and Exchange Commission of Sri Lanka Act No.36 of 1987 (as amended) – Margin Providers.
- 31-03-2020 Directive issued under and in terms of Section 13(c) of the Securities and Exchange Commission of Sri Lanka Act No.36 of 1987 (as amended) – CSE/Stock Brokers.
- 30-04-2020 Directive issued under and in terms of Section 13(c) of the Securities and Exchange Commission of Sri Lanka Act No.36 of 1987 (as amended)
- 30-04-2020 Directive issued under and in terms of Section 13(c) of the Securities and Exchange Commission of Sri Lanka Act No.36 of 1987 (as amended) / Index Based Circuit Breaker.
- 31-8-2018 Guidelines on Fitness and Propreity
- 29-11-2018 Implementation of the provisions of "UNSCR 2231 - IMPLEMENTATION PRACTICES AND ENFORCEMENT OBLIGATIONS DIRECTIVES, NO. 1 OF 2018"
- 31-12-2018 Regulatory Framework on Investments/Disposals
- 20-12-2018Directive issued under section 13(C) of the Securities and Exchange Commission of Sri Lanka Act no 36 of 1987 (amended) 18.12.2018
- 16-10-2017 Incorporation of enforcement procedures to be implemented on listing public companies violating listing requirements of the comlombo stock exchange (16.10.2017)
- 23-08-2017Directive – Re: Revised Procedure to be Enforced on Stock Broking Companies Trading in Equity and Debt Securities That Have Failed to Ensure Compliance with the Risk Based Capital Adequacy Requirements (CAR)
- 06-06-2017Directive – Guidelines on Unit Trust Advertisements and Promotional Material
- 31-05-2017SEC/LEG/17/05/35 – Directive issue under section 13(c) of the Securities and Exchange Commission of Sri Lanka ACT NO.36 of 1987 (As Amended)
- 03-02-2017SEC/LEG/17/02/01 – Revision of share transaction fees of the colombo stock exchange (CSE) and central depository system (Pvt) Ltd (CDS)
- 03-02-2017SEC/LEG/17/02/06 – The adoption of rules mandating stock broker and/of stock dealer firms trading in equity and/or debt securities to maintain a minimum sharehqlder's fund requirement
- 18-01-2017SEC/LEG/17/01/12 – Directive issued in terms of Section 13 (cc) of the Securities and Exchange Commission of Sri Lanka Act No.36 of 1987 (as amended) – Swarnamahal Financial Services PLC
- 23-12-2016Revision of Value Added Tax on Application fees for entities Licenced/Registered by the Securities and Exchange Commission of Sri Lanka
- 12-12-2016SEC/FAD/16/12/539: Revision of value added tax on application fees for entities Licenced/Registered by the Securities and Exchange Commission of Sri Lanka
- 22-11-2016SEC/LEG/16/12/20: Mandatory implementation of risk based capital adequacy requirements
- 17-11-2016SEC/LEG/16/11/13: Revision of Rules on Minimum Public Holding Applicable to all Listed Public Companies
- 20-07-2016SEC/DG/2016/07/168 – DIRECTIVE ISSUED IN TERMS OF SECTION 13 (c) AND SECTION 13 (p) OF THE SECURITIES AND EXCHANGE COMMISSION OF SRI LANKA ACT NO. 36 OF 1987 (AS AMENDED) ; RE: SALE OF 15,200,000 SHARES OF AGALAWATTE PLANTATION PLC
- 14-07-2016SEC/LEG/16/07/04 – Directive issued in terms of Section 13 (c) of the Securities and Exchange Commission of Sri Lanka Act No: 36 of 1987 (as amended) – Blue Diamonds Jewellery Worldwide PLC
- 13-05-2016SEC/LEG/16/05/12: Stop order on payment of proceeds of a trade due to the possible violation of capital market law.
- 10-05-2016SEC/FAD/16/05/213: REVISION OF VALUE ADDED TAX ON APPLICATION FEES FOR ENTITIES LICENCED/REGISTERED BY THE SECURITIES AND EXCHANGE COMMISSION OF SRI LANKA
- 06-05-2016SEC/SUP/16/05/242: Directive issued on Entrust Capital Market (Pvt) Ltd on account of certain regulatory concerns
- 07-01-2016SEC/LEG/16/01/09: Direactive issue under section 13 (c) and section 13 (p) of the Securities and Exchange Commission of Sri Lanka ACT. 36 of 1987 (AS Ammended)
- 08-01-2016Directive Issued to TKS Securities (Pvt) Ltd with respect to Investor Eye ( Pvt) Ltd
- 30-09-2015SEC/LEG/15/09/28 : Regulatory Standards Applicable to Market Intermediaries
- 13-07-2015SEC /DG/ 2015/07/51: REVISION OF APPLICATION FEES FOR ENTITIES LICENCED/REGISTERED BY THE SECURITIES AND EXCHANGE COMMISSION OF SRI LANKA
- 10-06-2015SEC/LEG/15/06/04 – Conflict of interest arising in the credit rating of the debenture issue of EAP Broadcasting Company Limited
- 24-03-2015SEC/LEG/15/03/27 – Directive issued in terms of Sections 12 (b) and 13 (cc) of the Securities and Exchange Commission of Sri Lanka Act No. 36 of 1987 (as amended) Re: Blue Diamonds Jewellery Worldwide PLC
- 20-03-2015SEC/LEG/15/03/24 – Directive issued to Kalpitiya Beach Resort PLC
- 26-01-2015SEC/LEG/15/01/16 – Imposing a trading suspension on the shares of Miramar Beach Hotel PLC.
- 23-12-2014SEC/LEG/14/12/41
Basis of Offer Price at an Initial Public Offer (IPO) of Shares - 24-09-2014SEC/LEG/14/09/71
Maintenance of a minimum number of unit holders - 22-09-2014SEC/LEG/14/09/58
Lifting of price constraints for transactions within the Financial consolidation plan - 15-08-2014SEC/LEG/14/08/18
Conditions relating to mandatory offer of PCH Holdings PLC - 15-08-2014SEC/LEG/14/08/17
Compensation by Adam Investments PLC for cancelled trades - 11-08-2014SEC/LEG/14/08/11
Directive on cancellation of trades by Adam Investments PLC of PC Pharma PLC -
01-07-2014SEC/LEG/14/07/01
Clarification on the administration of Section 5 (4) of the delisting rules - 29-04-2014SEC/LEG/14/04/33
Commencement of business operations for Investment Managers - 29-04-2014SEC/LEG/14/04/32
Reconciliation of the definition of Public Holding - 12-03-2014SEC/LEG/14/03/39
Extension of prevention of alienation of non- current asset of Touchwood Investments PLC - 11-03-2014SEC/LEG/14/03/38
Trading Suspension of the Shares of Touchwood Investments PLC as per Rule 9.3 (b) (i) of the Listing Rules of the CSE
- 27-12-2013SEC/LEG/13/12/45
Disclosure requirements for directors dealings - 20-12-2013SEC/LEG/13/12/37
Rules on Minimum Public Holding as a Continuous Listing Requirement - 17-12-2013SEC/LEG/13/12/31
Valuation methods for fixed income instruments - 12-12-2013SEC/LEG/13/12/23
Adoption of Code of Best Practices on Related Party Transactions - 04-11-2013SUP/04/11/2013
Electronic Filing System - 07-11-2013SEC/LEG/13/11/10
Maintenance of a minimum number of unit holders - 11-10-2013SEC/LEG/13/10/17
Increase of minimum number of public shareholders on the Diri Savi Board - 11-10-2013SEC/LEG/13/10/16
Reinstatement of Introductions as a method of listing - 09-09-2013SEC/LEG/13/09/11
Directive issued to Touchwood Investments PLC preventing removal of documents and non-current asset - 09-09-2013SEC/LEG/13/09/12
Re-imposition of trading suspension on Touchwood Investments PLC commencing 10th September 2013 - 05-09-2013SEC/LEG/13/09/04
Trading Suspension on Touchwood Investments PLC - 23-08-2013SEC/LEG/13/08/38
Modification of the directive issued on 2 March 2012 bearing reference SEC/LEG/12/03/07 relating to imposition of locking of shares post listing after an IPO. - 13-06-2013SEC/LEG/13/06/23
Lifting restrictions imposed by Clause (3) of Directive SEC/LEG/12/05/45
- 09-10-2012SEC/LEG/12/10/09
Amendment to Interim Measure - 09-10-2012SEC/LEG/12/10/07
Extension of Credit - 12-09-2012SEC/LEG/12/09/10
Directive to comply with the Corporate Governance Rules enshrined in the Listing Rules of the CSE - 16-07-2012SEC/LEG/12/07/14
Directive on Computation of Net Capital - 28-05-2012SEC/LEG/12/05/45
To: The Colombo Stock Exchange – Dated 25th May 2012, Interim measures to enhance the smooth functioning of the payment and settlement cycle of trades. - 19-04-2012SEC/DG/12/04/12
Removal of the 10% price band - 02-04-2012SEC/LEG/12/04/02
Imposition of restrictions on extending trading periods of warrants - 02-03-2012SEC/LEG/12/03/07
To: The Colombo Stock Exchange – Dated 02nd March 2012, Amendment to Section 2.1 of the Listing Rules of the Colombo Stock Exchange - 17-02-2012SEC/LEG/12/02/15
Assignment of unique trader codes to investment advisers - 17-01-2012SEC/LEG/12/01/10To : The Colombo Stock Exchange – Dated 17th January 2012 New directive on extending credit to investors (connected with SEC directive SEC/LEG/11/08/22 dated 16th August 2011)
- 16-08-2011SEC/LEG/11/08/22
To : The Colombo Stock Exchange -Relaxation of the restrictions imposed on Stock Brokers in extending credit to investors - 06-06-2011SEC/LEG/11/06/01
To: All Managing Companies of Unit Trusts licensed by the SEC and Trustees - Guidelines relating to the allotment of shares on closure of an initial public offer Connected with SEC directive SEC/LEG/ 11/03/36 dated 10th March 2011 - 19-05-2011SEC/DG/11/05/18
To : The Colombo Stock Exchange - To grant further relief in respect of the time granted to the Stock Brokers to reduce their current debtor’s position Connected with directive SEC/LEG/10/11/77 dated 29th November 2010 - 28-04-2011SEC/LEG/11/09/27 To : The Colombo Stock Exchange - Guidelines relating to the share allotments to the retail investor category in large scale (Rs 3,000,000,000/-and above) Initial Public Offers.
- 19-04-2011SEC/DG/11/04/19To : The Colombo Stock Exchange - Further reduction of the number of market days to be placed under the 10% price band.
- 10-03-2011SEC/DG/11/03/36
To : The Colombo Stock Exchange - Procedure to be followed with regard to the allotment of share on closure of an Initial Public Offer. - 24-02-2011SEC/LEG/11/02/57
To : The Colombo Stock Exchange - Reduction of the number of market days to be placed under the 10% price band. - 24-02-2011Circular No.3 of 2011
- 21-02-2011Circular No:02 0f 2011
- 07-02-2011Circular No.1 of 2011SEC/DG/11/02/04 dated 07thFebruary 2011 Revised guidelines in approving applications under Section 28A of the SEC Act (as amended) –Connected with Circular No: 02/2010 dated 22nd February 2010.
- 31-12-2010SEC/LEG/10/12/107
To: The Central Depository Systems (Pvt) Ltd - Re: Approval to the new CDS Rules. - 29-12-2010SEC/LEG/10/12/92
To: Colombo Stock Exchange - Directive to mandate the Stock Brokers to force- sell by T+5. - 29-11-2010SEC/LEG/10/11/77
To: The Colombo Stock Exchange - Granting permission to the Stock Brokers to reduce their current debtor’s position Connected directive SEC/LEG/10/09/42 dated 14th September 2010. - 22-11-2010Circular No: 08/2010
To: The Colombo Stock Exchange and the Central Depository Systems (Pvt) Ltd - To mandate lodging of certificates pertaining to all listed securities at the Central Depository System and implement a system of dematerialization for all listed securities. - 07-10-2010SEC/LEG/10/10/01
To: The Colombo Stock Exchange - Directive governing the granting of approvals to the issue of share warrants by listed ompanies. - 14-09-2010SEC/LEG/10/09/40
To: The Colombo Stock Exchange - The price band imposed on all listed companies Connected directive No: SEC/LEG/10/08/12 dated 4th August 2010. - 14-09-2010SEC/LEG/10/09/42
To: The Colombo Stock Exchange - To mandate stock broker companies to refrain from extending credits to any investor beyond T+3. - 04-08-2010SEC/LEG/10/08/12
To : The Colombo Stock Exchange - The imposition of a 10% price band on all listed securities. - 03-08-2010SEC/LEG/10/08/06
To : The Colombo Stock Exchange - To immediately suspend trading of listed securities falling within the criteria specified in the directive. - 28-06-2010Circular No: 04/2010
To: All Managing Companies and Trustees of Unit Trust Funds - Investment restrictions on single entity exposure and short term debt instruments. - 22-06-2010SEC/LEG/10/06/57
To : The Colombo Stock Exchange - To incorporate disclosure requirements in respect of related party transactions by listed entities in the listing rules. - 25-05-2010SEC/LEG/10/05/55
To : The Colombo Stock Exchange - To impose trading halts on certain listed companies. - 30-04-2010Circular No: 03/2010
To: The Colombo Stock Exchange (CSE)/ Central Depositary Systems (Pvt) Limited (CDS) and all Licensed Stock Brokers of the Colombo Stock Exchange - Amendments to the ATS Rules and transaction cost. - 22-02-2010Circular No: 02/2010
Revised Guidelines in approving applications under Section 28A of the Securities and Exchange Commission Act no. 36 of 1987 as amended. - 12-02-2010Circular No: 01/2010
To: All Public Listed Companies - Prohibiting Trading Prohibiting Trading of Securities of Listed Companies transferred to the Default Board of the Colombo Stock Exchange by Directors of Such Listed Companies.
- 13-10-2009Circular No: 08/2009
To : All Licensed Stock Brokers - Continuous Professional Development (CPD) - 25-09-2009Circular No.7 of 2009
To : All Stock Brokers - Relating to authorized signatories to the unaudited financial statements of all stock broking and stock dealing companies. - 27-08-2009Circular No: 06/2009
To: All Market Intermediaries Registered by the SEC/LEG/09/08/51 Securities and Exchange Commission of Sri Lanka – Relating to authorized signatories to the Unaudited Financial Statements and reporting to CBSL. - 25-08-2009Circular No.5 of 2009
To : All Stock Brokers - Minimum entry level qualification to follow the Certificate in Capital Market (CCM) Programme. - 28-01-2009Circular No: 04/2009
To : All Listed Companies - Proposals for the introduction of further requirements to the revised Listing Rules in connection with the appointment of Trustees for Debenture Issues, Private Placements and Employee Share Option Schemes. - 08-01-2009Circular No.3 of 2009
To: All Entities Licensed / Registered by the Securities and Exchange Commission of Sri Lanka – Revision of application fees for entities licensed / registered by the Securities and Exchange Commission of Sri Lanka. - 07-01-2009Circular No.2 of 2009
To: All Managing Companies and Trustees of Unit (Unit Trust - 03) Trust Funds in Sri Lanka - uidelines for Trustees and Managing Companies of Unit Trusts Funds. - 07-01-2009Circular No.1 of 2009
To: All Managing Companies and Trustees of Unit (Unit Trust - 02) Trust Funds in Sri Lanka- investment restrictions, Management of portfolios for third parties by Managing Companies of Unit Trusts and Minimum Net Capital.
- 24-11-2008Circular No.16 of 2008 (SEC/LEG/08/11/29)
To: All Listed Companies and Credit Rating Agencies Registered with the SEC - Approval criteria relating to issuance of Unlisted Debt Securities by Listed Entities. - 10-10-2008Circular No.14 of 2008 (SEC/LEG/08/10/07)
To: All Registered Market Intermediaries under the Category of Credit Rating Agencies - Submission of Interim Financial Reports on a monthly basis according to the formats given by the SEC. - 09-10-2008Circular No.13 of 2008 (SEC/LEG/08/10/06)
To: All Registered Market Intermediaries under the Category of Underwriters - Submission of Interim Financial Reports on a monthly basis according to the formats given by the SEC. - 09-10-2008Circular No.12 of 2008 (SEC/LEG/08/10/05)
To: All Registered Market Intermediaries under the Category of Investment Manager - Submission of Interim Financial Reports on a monthly basis according to the formats given by the SEC. - 09-10-2008Circular No.11 of 2008 (SEC/LEG/08/10/04)
To: All Registered Market Intermediaries under the Category of Margin Provider - Submission of Interim Financial Reports on a monthly basis according to the formats given by the SEC. - 30-09-2008Circular No.10 of 2008 (SEC/COR/08/09/201)
To : All Plantation Companies listed on the Colombo Stock Exchange (CSE) - Rights of Golden Shareholder. - 21-07-2008Circular No.9 of 2008
To : All Listed Companies - Guidelines for the appointment of External Auditors by Listed Companies. - 07-07-2008Circular No.8 of 2008
To: All Domestic Credit Rating Agencies of Sri Lanka - Endorsement of the Handbook on International Best Practice in Credit Rating Submitted by ACRAA to the Asian Development Bank. - 04-04-2008Circular No.7 of 2008
To: All Licensed Stockbrokers - Attempts to Manipulate - Price using the Pre-Open Mechanism of the Automated Trading System. - 12-03-2008Circular No.6 of 2008
To: All Managing Companies of Unit Trusts - Trading on the Last Day of the Financial Year. - 29-01-2008Circular No.5 of 2008
To: All Registered Market Intermediaries under the Category of Underwriters - Submission of Interim Financial Reports on a monthly basis. - 29-01-2008Circular No.4 of 2008
To: All Registered Market Intermediaries under the Category of Credit Rating Agencies - Submission of Interim Financial Reports on a monthly basis. - 28-01-2008Circular No.3 of 2008
To: All Registered Market Intermediaries under the Category of Investment Managers - Submission of Interim Financial Reports on a monthly basis - 28-01-2008Circular No.2 of 2008
To: All Registered Market Intermediaries under the Category of Margin Providers - Submission of Interim Financial Reports on a monthly basis. - 28-01-2008Circular No.1 of 2008
To: All Registered Market Intermediaries - Advertisements relating to their services.