MANAGING COMPANIES OF UNIT TRUSTS

1. Ceylon Asset Management Company Limited • Ceylon Index Fund • Ceylon Income Fund • Ceylon Tourism Fund • Ceylon Financial Sector Fund • Ceylon IPO Fund • Ceylon MTI Shariah Fund • Ceylon Global Compact sustainability Fund • Ceylon Gilt-Edged Fund • Ceylon Treasury Bill Fund 2. Com Trust Asset Management (Private) Limited • Comtrust Equity Fund • Comtrust Gilt Edged Fund • Crescent i Fund • Comtrust money market Fund • Comtrust ADL Mudarabah Fund

3. NDB Wealth Management Limited • Eagle Growth and Income Fund • Eagle Gilt Edged Fund • Eagle Fixed Income Fund • Eagle Growth Fund • Eagle Money Fund • Eagle Money Plus Fund • Short Term LKR Treasury Fund

4. Ceybank Asset Management (Pvt) Limited • Ceybank Unit Trust • Ceybank Century Growth Fund • Ceybank Gilt Edged Fund (closed end) • Ceybank Savings Plus Money Market Fund • Ceybank Surakum • Ceybank Gilt Edged Fund (B series)

5. National Asset Management Limited • NAMAL Income Fund • NAMAL Money Market Fund • National Equity Fund • NAMAL Growth Fund • Namal Sharia Fund • NAMAL Acuity Value Fund (closed end) • NAMAL IPO Fund • NAMAL High Yield Fund

6. First Capital Asset Management Limited • First Capital Wealth Fund • First Capital Fixed Income Fund

7. J B Financial (Pvt) Ltd • J B Vantage Money Market Fund • J B Vantage value Equity Fund

8. Guardian Acuity Asset Management Ltd • Guardian Acuity Fixed Income Fund • Guardian Acuity Equity Fund

9. Candor Asset Management (Pvt) Ltd • Candor Capital Growth Fund • Amana Candor Shariah fund

10. Asset Trust Management (Pvt) Ltd • Astrue Gilt edged Fund • Astrue Money market Fund • Astrue Alpha Fund

11. Capital Alliance Investments Ltd • Capital Alliance High Yield Fund • Capital Alliance Gilt Fund • Capital Alliance Quantitative Equity Fund • Capital Alliance Corporate Treasury Fund • Capital Alliance Investment Grade Fund • Capital Alliance Income Fund • Capital Alliance Gilt Trading Fund • Capital Alliance Medium Risk Debt Fund • Capital Alliance Corporate Debt and Gilt Trading Fund

12. Arpico Ataraxia Asset Management (Private) Limited • Arpico Ataraxia Cash Management Trust Fund • Arpico Ataraxia Repo Fund • Arpico Ataraxia S & P- SL 20 Index Fund • Arpico Ataraxia Sri Lanka Bond Fund-Gilt Edged Fund

13. Investrust Wealth Management Ltd • Orient Corporate Debt Fund • Orient Equity Fund • Orient Gilt-edged Fund • Investrust Money Market Fund

14. Assetline Capital (Pvt) Ltd • Assetline Income plus growth fund • Assetline Gilt-edged Fund • Assetline Income Fund

LICENSED AS AT 30th June 2014

18. Nation Lanka Capital Ltd 19. Pan Asia Banking Corporation PLC20. People’s Leasing and Finance PLC21. Capital Alliance Finance PLC22. Richard Peiris Financial Services (Pvt) Ltd23. Sampath Bank PLC24. Seylan Bank PLC25. Softlogic Finance PLC26. Waldock Mackenzie Limited 27. Union Bank of Colombo PLC28. Bansei Securities Finance (Pvt) Ltd29. ADL Equities Ltd30. People’s Merchant Finance PLC31. TKS Finance Ltd32. Citizen Development Business Finance PLC33. Assetline Leasing Company Limited

Market Intermediaries under the categories of Margin Provider, Investment Manager and Underwriter registered with the SEC are set out below:

20. Amana Capital Ltd21. NDB Wealth Management Ltd22. Candor Asset Management (Private) Limited 23. Sanasa Asset Management (Pvt) Ltd24. Guardian Acuity Asset Management Limited 25. Comtrust Asset Management (Pvt) Ltd26. Assetline Capital (Pvt) Ltd27. Arpico Ataraxia Asset Management (Pvt) Ltd28. Ceybank Asset Management Ltd29. Bartleet Asset Management (Pvt) Ltd30. Investrust Wealth Management Limited31. ADL Asset Management Limited 32. Nation Lanka Equities (Pvt) Ltd33. People’s Bank34. NWS Management Services (Pvt) Ltd35. Lynear Wealth Management (Pvt) Ltd36. Ceylon Japan Securities (Pvt) Ltd37. GIH Capital Limited

6. Commercial Bank of Ceylon PLC7. Hatton National Bank PLC8. Merchant Bank of Sri Lanka PLC9. Sampath Bank PLC10. NDB Capital Holdings PLC

1. Acuity Partners (Private) Limited2. Asha Financial Services Limited 3. Assetline Capital (Private) Limited4. Bartleet Finance PLC5. Capital Trust Credit (Private) Limited6. Commercial Bank of Ceylon PLC7. DFCC Vardhana Bank PLC8. George Steuart Finance PLC9. First Capital Markets Limited10. Hatton National Bank PLC11. Candor Capital (Private) Limited 12. J B Credit (Pvt ) Ltd13. Lanka ORIX Finance PLC14. L B Finance PLC15. Lexinton Financial Services (Private) Limited16. Merchant Bank of Sri Lanka PLC17. National Development Bank PLC

1. Acuity Partners (Private) Limited 2. Bank of Ceylon 3. Bartleet TransCapital Limited 4. Capital Alliance Investments Limited 5. Capital Trust Wealth Management (Pvt) Ltd 6. First Capital Asset Management Limited 7. Guardian Fund Management Limited8. Kenanga Investment Corporation Ltd9. Ceylon Capital Market Advisors Limited 10. J.B. Financial Services (Private) Limited11. Merchant Bank of Sri Lanka PLC 12. National Wealth Corporation Limited13. National Asset Management Ltd 14. Orion Fund Management (Private) Limited 15. Softlogic Capital PLC16. Waldock Mackenzie Limited 17. Asset Trust Management (Pvt) Ltd 18. Horizon Asset Ltd19. Innovest Investments (Pvt ) Ltd

1. Acuity Partners (Private) Limited 2. Bank of Ceylon3. Bartleet TransCapital Limited4. Ceylon Guardian Investment Trust PLC 5. Ceylon Investment PLC

19. LOLC Securities Limited20. Navara Securities (Pvt) Ltd 21. NDB Securities (Private) Limited22. Richard Pieris Securities (Private) Limited23. SC Securities (Private) Limited24. Serendib Stockbrokers (Private) Limited25. SMB Securities (Private) Limited 26. Somerville Stock Brokers (Private) Limited27. Taprobane Securities (Private) Limited28. TKS Securities (Private) Limited29. First Capital Markets Limited- (Debt securities)30. Capital Alliance Limited (Debt Securities)31. NatWealth Securities Limited (Debt Securities)32. Wealth Trust Securities Limited (Debt Securities)33. NSB Fund Management Co: Limited (Debt Securities)

1. Acuity Stockbrokers (Private) Limited2. Softlogic Stockbrokers(Pvt) Ltd3. Asha Phillip Securities Limited4. Asia Securities (Private) Limited5. Assetline Securities (Private) Limited6. Bartleet Religare Securities (Private) Limited7. Capital Alliance Securities (Private) Limited8. Capital Trust Securities (Private) Limited9. Nation Lanka Equities (Private) Limited10. Claridge Stockbrokers (Private) Limited11. CT CLSA Securities (Private) Limited12. First Capital Equities (Private) Limited 13. First Guardian Equities (Private) Limited14. Candor Equities Limited 15. Enterprise Ceylon Capital (Pvt) Ltd 16. JB Securities (Private) Limited17. John Keells Stock Brokers (Private) Limited18. Lanka Securities (Private) Limited

1. Central Depository Systems (Private) Limited

1. Fitch Ratings Lanka Limited 2. Lanka Rating Agency Limited 3. ICRA Lanka Limited

MARKET INTERMEDIARIESREGISTERED AS AT 30th June 2014

UNDER

THE SECURITIES AND EXCHANGE COMMISSION OF SRI LANKA ACT NO. 36 OF 1987

(Amended by Act No. 26 of 1991, Act No. 18 of 2003 and Act No. 47 of 2009)

Registered Market Intermediaries under the Category of Margin Provider:

Registered Market Intermediaries under the Category of Investment Manager:

1. Softlogic Stockbrokers(Pvt) Ltd 2. Bartleet Religare Securities (Private) Limited- Deal in debt securities3. First Capital Markets Limited- Deal in debt securities4. Capital Alliance Securities (Pvt) Ltd 5. SMB Securities (Private) Limited- Deal in debt securities6. JB Securities (Private) Limited7. Serendib Stockbrokers (Private) Limited8. Capital Alliance Limited - Deal in debt securities9. NatWealth Securities limited - Deal in debt Securities10. Wealth Trust Securities Limited (Debt Securities)11. NSB Fund Management Co: Limited (Debt Securities)

STOCK BROKERS AND STOCK DEALERSLICENSED AS AT 30th June 2014

UNDER

THE SECURITIES AND EXCHANGE COMMISSION OF SRI LANKA ACT NO. 36 OF 1987(Amended by Act No. 26 of 1991, Act No. 18 of 2003 and Act No. 47 of 2009)

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Registered Market Intermediaries under the Category of Underwriter:

Registered Market Intermediary under the Category of a Clearing House :

Registered Market Intermediaries under the Category of Credit Rating Agency:

Stock Brokers licenced by the SEC are set out below:

Stock Dealers licenced by the SEC are set out below:

Officer-in-chargeSecurities and Exchange Commission of Sri Lanka

Level 28 & 29, East Tower, World Trade Center, Echelon Square, Colombo 01Tel: 011 2439144, 011 2331013 Fax: 011 2439149 Email:mail@sec.gov.lk Website:www.sec.gov.lk