Regulatory Alerts2026-01-09
SEC Directive 09.01.2026 Mandatory Submission of Feedback Form by an Outgoing Compliance Officer of a Market Institution or Market Intermediary
The Securities and Exchange Commission of Sri Lanka mandates that outgoing Compliance Officers of Market Institutions and Market Intermediaries must submit a confidential feedback form upon resignation. Employers are required to provide the prescribed form to the resigning officer, who must independently complete and return it to the SEC within thirty days of the resignation notice. This directive ensures independent regulatory oversight by allowing the SEC to review compliance experiences and take appropriate action against non-compliance.
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