Accounts & Regulation

SEC – Securities and Exchange Commission

The Securities and Exchange Commission of Sri Lanka is the government regulator responsible for overseeing and regulating the country's capital markets.

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The Securities and Exchange Commission of Sri Lanka (SEC) is the principal regulatory authority for the country's capital markets, established under the Securities and Exchange Commission Act No. 36 of 1987.

The SEC's mandate is to protect investors, promote market development, and ensure the integrity and transparency of Sri Lanka's securities markets. It regulates the CSE, licensed stockbrokers, investment managers, unit trust management companies, margin providers, and market intermediaries.

Key regulatory functions of the SEC include reviewing and approving IPO prospectuses, investigating market manipulation and insider trading, licensing market participants, and enforcing disclosure requirements on listed companies.

Investors who believe they have been wronged by a listed company, broker, or market participant can file a complaint with the SEC. The SEC also publishes investor education material and investor alerts about scams or fraudulent schemes targeting retail investors.

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On the Colombo Stock Exchange

Material published on the TaprobaneFi platform is for informational purposes only. All regulated activities — trading, portfolio advice, custody — require properly licensed entities supervised by the SEC.

Related terms

CSE – Colombo Stock Exchange

The Colombo Stock Exchange is Sri Lanka's only licensed stock exchange, where shares of listed companies are bought and sold during regulated trading hours.

CDS Account

A CDS (Central Depository System) account is the mandatory electronic account that holds your CSE share ownership records in dematerialised form.

IPO – Initial Public Offering

An IPO is the process by which a private company offers its shares to the public for the first time by listing on a stock exchange.

Stockbroker / CSE Member Firm

A stockbroker is a licensed firm (CSE member) authorised to execute buy and sell orders on behalf of investors on the Colombo Stock Exchange.

Frequently Asked

What is SEC – Securities and Exchange Commission?

The Securities and Exchange Commission of Sri Lanka is the government regulator responsible for overseeing and regulating the country's capital markets.

How does this apply to the Colombo Stock Exchange?

Material published on the TaprobaneFi platform is for informational purposes only. All regulated activities — trading, portfolio advice, custody — require properly licensed entities supervised by the SEC.