SEC Directive 09.01.2026 Mandatory Submission of Feedback Form by an Outgoing Compliance Officer of a Market Institution or Market Intermediary

q ffi ff I ::'mltl::i-s, :xfii,tff eJfu- k',r 6 Cbo) 6(f@od e:to 060rl o€DOGed fft€ Oocioau rllomurdrsoi @dU6 uflfli66oo €go@d6(g Ogth January 2026 Ref: SEC/SUP I 2026 I oL I OO7 To: ALL MARKET INSTITUTIONS, MARKET INTERMEDIARIES AND ALL COMPLIANCE OFFICERS DIRECTIVE ISSUED UNDER AND IN TERMS OF SECTION 16Lc'I OF THE SECURITIES AND EXCHANGE COMMISSION OF SRI LANKA ACT, NO. 19 OF 2021 (SEC ACN READ TOGETHER WITH SECTION 3(b). 3(c) AND 3(d) OF THE SAID ACT 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 (SEC) at its 526th Meeting held on 05th December 2025, resolved to mandate that outgoing Compliance Officers of Market Institutions and Market Intermediaries, who have resigned from their positions or tendered their resignations, to submit the "Feedback Form" in the format provided herewith (Annexure). Accordingly, upon the acceptance of a notice of resignation from the Compliance Officer, the respective Market Institutions and Market Intermediaries shall forthwith provide the prescribed feedback form directly to the outgoing Compliance Officer. The outgoing Compliance Officer shall be mandated to complete the Feedback Form which shall also be made available on the SEC website and submit same to the SEC directly, addressed to the Head of the Supervision Division under confidential cover either by registered post or by email within thirty (30) calendar days from the date stipulated in the notice of resignation of the Compliance Officer. The feedback provided by the outgoing Compliance Officer shall be an independent submission of the relevant outgoing Compliance Officer, free of any interference or obstruction from any internal or external pafties. The SEC shall review all feedback forms submitted and take appropriate action where necessary. This Directive shall have immediate effect, and any non-compliance with this Directive shall be dealt with the proviiions of the SEC Act, Tusheira Jayaratne Officer-in-Charge 28 6ro 29 0@, erac6o60 AOo @rD @Ge @46d0)o6 @d oad€(B, 06)00 01. qd€Doe, I oprooGud I *94fiZ|CSAqS Telephone t 28 o$prrir 29 gg6 Dtrq, dpdrg G6trqt6 Lo6 fli686 @@u6.fl&roair egt66rb 6en19rirq 01. Level 28 & 29, East Tower World Trade Centre Echelon Square, Colombo 01, Sri Lanka o[dd 66roopeoil Fax IOSCO ) +sa rr 2assr+s OOA qAAO t www.sec.gov.lk tntemarionatorganiaflon @omu6 [ w. cmet.sec.gov.lk of SecuritiesCommisrions Website J www.cmic.sec.gov.lk

Strictly Confidential (To be independently submitted by the Compliance Officer to the SEC under confidential cover) Resignation of Compliance Officer of a Market Institution/Market Intermediary Feedback Form (To be completed by the resigning Compliance Officer)

1. General Information: 1.1 Name of the Employer (Market Institution/Market Intermediary) 1.2 Full name of the Compliance Officer 1.3 Designation held at the time of resignation from the entity mentioned in 1.1 above

2. Specific Information Relating to the Compliance Officer (CO) Role: 2.1 Date of Appointment as CO in the entity mentioned under 1.1 above 2.3 Reporting line while performing the CO role (Please specify both formal and informal reporting lines, if any)

3. Regulatory Aspects: 3.1 Describe your experience in dealing with the Securities and Exchange Commission of Sri Lanka (SEC) while performing your role as CO. 3.2 What are your views on the regulatory requirements imposed by the SEC on Market Institutions/Market Intermediaries? Were there any practical difficulties encountered in complying with these requirements? Please provide details. 3.3 Do you have any suggestions to improve the regulatory oversight of Market Institutions/Market Intermediaries? Please explain.

4. Other Information: 4.1 What are the primary reasons for the Compliance Officer to resign from the employer mentioned in 1.1 above?

4.2 How would you describe the support provided by the senior management in performing your role as CO? Were there any issues or challenges encountered in carrying out your functions as CO? Please explain. 4.3 Do you believe that you had an adequate level of independence to perform your role effectively, without undue influence from the entity or the senior management? Please explain. 4.4 Please state any additional information or comments you wish to disclose regarding your experience as a CO. Completed by: ………………………………………… ………………………………………. (Name and Signature) (Date)