Securities Regulations, Ethics & Marketing Series


The Securities Regulations and Ethics Series Examination is intended to give candidates a broader understanding of laws and regulations governing Sri Lanka’s securities industry.

  • SEC Act, Rules & Circulars
  • Takeovers & Mergers Code
  • CDS Rules & Regulations
  • ATS Rules & Regulations
  • Brief introduction to DEX Rules
  • Member Regulations
  • CSE Listing Rules
  • Unit Trust Code and Regulations
  • Corporate Governance Directions & Codes
  • Companies Act

Discussion Areas
• Local Treasury Bills Ordinance
• Registered Stocks & Securities Ordinance
• Exchange Control Act
• Banking Act

Securities Regulations & Ethics Series

Examination details as at 31.12.2012
Sinhala Medium and English Medium

Batch Number Registered Number of Students Number of Securities Regulations & Ethics Passed Students
Sinhala Medium
Batch- 1 93 67
Batch- 2 80 61
Batch- 3 106 78
Batch- 4 154 9
Batch- 5 ongoing 0
SUB TOTAL 433 128
English Medium
Batch- 1 30 10
Batch- 2 38 20
Batch- 3 73 47
Batch- 4 116 50
Batch- 5 77 30
Batch- 6 118 50
Batch- 7 141 34
Batch- 8 13 2
Batch- 9 139 9
SUB TOTAL 745 155

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Main Text

  • SEC Act, Rules and Circulars
  • Takeovers and Mergers Code
  • CDS Rules and Regulations
  • Automatic Trading System (ATS) Rules and Regulations
  • Debt Trading System (DEX) Rules
  • Member Regulations
  • CSE Listing Rules
  • The Unit Trust Code & Regulations
  • Corporate Governance Directions and Codes
  • Code of Ethics (best practises)
  • Companies Act

Discussion Areas

  • Local Treasury Bills Ordinance
  • Registered Stocks and Securities Ordinance
  • Exchange Control Act
  • Banking Act

Content will be uploaded soon

Content will be uploaded soon

Tentative Examination Schedule for 2012

Date/Month Last Date to submit the
application
Exam Type
May 15th May 2012 Computer Testing System
July 15th July 2012 Computer Testing System
September 15th September
2012
Computer Testing System
November 15th November
2012
Computer Testing System

Registration

  • Forward the completed examination application with payment before 15th of each month the examination is tentitivley scheduled (see “Next Examination” to obtain the tentitive examination schedule).
  • We will forward the confirmed examination date, time and venue along with examination instructions one week prior to the examination date.

Application

Download Examination Application


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Last Modified: February 27, 2015