Skip to content
srilawsby aturio
As enacted
EnglishSinhala සිංහල, official PDF on documents.gov.lkTamil தமிழ், official PDF on documents.gov.lk
Contents

Part III · Issue of Securities

115. Register of market intermediaries and registered persons

Official English translation. The Sinhala text prevails. Open the official Sinhala text, official PDF on documents.gov.lk

(1)

The Commission shall keep in such form and manner as it may determine, a register of market intermediaries and registered persons which shall be made available for public inspection in such manner as the

Commission may determine.

(2)

The register shall be in electronic form and the

Commission shall update the register at all times.

(3)

The register for the market intermediary and the registered person shall contain –

(a)

the name of the market intermediary or the registered person;

(b)

the business address of the market intermediary or the registered person;

(c)

the type of licence held by the market intermediary or the type of registration held by the registered person;

(d)

the date the licence was granted to the market intermediary or the date the registration was granted to the registered person;

(e)

the names of registered persons acting for or employed by the market intermediary; and

(f)

any other matter that the Commission considers appropriate.

(4)

The Commission may make necessary amendments in the register with respect to a market intermediary or a registered person where the licence held by the market intermediary is cancelled or suspended or where the registration held by the registered person is cancelled or suspended under this Act.

Part IV

Trade In Unlisted Securities

Read on from Part IV

Part V

Market Misconduct

Read on from Part V

Part VI

Finance

Read on from Part VI

Part VII

General

Read on from Part VII