Lanka securities stock brokers

Regulations Application Forms Financial Requirements Circulars Fees Regulations.

Any person who is carrying on or who intends to carry on the business of a stock broker or of a stock dealer, shall make an application to the Commission for the grant of a license as a stock broker or a stock dealer, as the case may be, in such form, together with such documents and such fee as may be specified by the Commission from time to time in that behalf.

Terms and conditions to be complied with by an individual for the grant of licence as a stock broker or a stock dealer.

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No licence shall be granted under this Act to any individual who does not comply with the terms and conditions set out in Part III of the Schedule. On receipt of an application the Commission having considered the particulars stated therein and, where it deems necessary, having given the applicant an opportunity of being heard, in person or by a representative, shall by written notice to the applicant, inform the applicant whether he is being granted a licence or not.

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A licensed stock broker or a licensed stock dealer may three months prior to the expiry of the licence make an application to the Commission in the prescribed form, together with the prescribed fee for a renewal of his licence.

Application Forms for Stock Exchange, Stock Broker, Stock Dealer.

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Minimum Net Capital and Liquid Capital Requirements. Financial Requirements for Multipurpose.

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Application Forms Application Forms for Stock Exchange, Stock Broker, Stock Dealer. Financial Requirements Minimum Net Capital and Liquid Capital Requirements Financial Requirements for Multipurpose.

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Circulars Please click here to refer the retailed circulars. About Us Introduction Commission Members Senior Management Divisions of SEC Employment Opportunities International Cooperation.

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