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FINANCIAL CHRONICLE™ » CORPORATE CHRONICLE™ » Unsolicited transaction by market intermediaries

Unsolicited transaction by market intermediaries

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CHRONICLE™

CHRONICLE™
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SECURITIES AND EXCHANGE COMMISSION OF SRI LANKA ACT, No. 19 OF 2021
https://www.sec.gov.lk/wp-content/uploads/2021/09/PL-012514-E-Securities.pdf

Unsolicited transaction by market intermediaries

Section 144.
(1) A market intermediary who carries on the business of buying and selling of securities on behalf of investors or its representative shall not contravene subsection (2) of section 137 by entering into a transaction or an agreement as an agent for another person, being a transaction or an agreement entered into on the securities market of an exchange if –
(a) the transaction or agreement is entered into under a specific instruction by the other person and was not solicited by a market intermediary or its representative carrying on the business of buying and selling of securities;
(b) the market intermediary carrying on the business of buying and selling of securities or its representative has not given any advice to the other person in relation to the transaction or agreement or otherwise sought to procure the other person’s instructions to enter into the transaction or agreement; and
(c) the other person is not associated with the market intermediary or its representatives carrying on the business of buying and selling of securities.

(2) Nothing in this section shall affect the responsibility of the market intermediary in relation to subsection (1) of this section with respect to the business of buying and selling of securities in his capacity as the principal.

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