who we regulate

Who we regulate

Who we regulate

To be engaged in regulated capital market activities, entities are required to obtain a licence from the Securities and Exchange Commission of Sri Lanka (SEC). The SEC grants licences to market institutions (stock exchanges, clearing houses, central depositories) and market intermediaries (corporate finance advisors, credit rating agencies, derivative brokers, derivative dealers, investment managers, managing companies, margin providers, market makers, stockbrokers, stock dealers and underwriters).