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 Gilt-Edged Fund • Ceylon Treasury Bill Fund • Ceylon Dollar Bond Fund • Ceylon Global Compact sustainability 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 Limited • Ceybank Unit Trust • Ceybank Century Growth Fund • Ceybank Gilt Edged Fund (closed end) • Ceybank Surakum • Ceybank Gilt Edged Fund (B series) • Ceybank Gilt Edged Fund (A series) • Ceybank Savings Plus Money Market Fund 5. National Asset Management Limited • NAMAL Income Fund • NAMAL Money Market Fund • National Equity Fund • NAMAL Growth Fund • Namal Sharia Fund • NAMAL IPO Fund • NAMAL Acuity Value Fund (closed end) • NAMAL High Yield Fund • NAMAL Gilt Fund

6. First Capital Asset Management Limited • First Capital Wealth Fund • First Capital Fixed Income Fund • First Capital Money market Fund • First capital Gilt Edged 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 balanced Fund • Candor Money Market Fund • Amana Candor Shariah Income 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 • Capital Alliance Balanced Fund • Capital Alliance Gilt money market 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 • Investrust Income Fund • Investrust Growth Fund • Investrust 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 31st January 2015

17. L B Finance PLC18. Lanka ORIX Finance PLC19. Lexinton Financial Services (Private) Limited20. Merchant Bank of Sri Lanka & Finance PLC 21. Nation Lanka Capital Ltd 22. National Development Bank PLC23. Pan Asia Banking Corporation PLC24. People’s Leasing and Finance PLC25. People’s Merchant Finance PLC26. Richard Peiris Financial Services (Pvt) Ltd27. Sampath Bank PLC28. Seylan Bank PLC29. Softlogic Finance PLC30. TKS Finance Ltd31. Union Bank of Colombo PLC32. Waldock Mackenzie Limited

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

19. Horizon Asset Ltd20. Innovest Investments (Pvt ) Ltd 21. J.B. Financial (Private) Limited22. Kenanga Investment Corporation Ltd23. Lynear Wealth Management (Pvt) Ltd24. Merchant Bank of Sri Lanka & Finance PLC 25. Nation Lanka Equities (Pvt) Ltd26. National Asset Management Ltd 27. National Wealth Corporation Limited28. Navara Capital Partners Limited29. NDB Wealth Management Ltd30. NWS Management Services (Pvt) Ltd31. Orion Fund Management (Private) Limited 32. People’s Bank33. Softlogic Capital PLC34. Waldock Mackenzie Limited 35. Trillion Investments Ltd

6. Commercial Bank of Ceylon PLC7. Hatton National Bank PLC8. Merchant Bank of Sri Lanka & Finance PLC 9. NDB Capital Holdings PLC10. Sampath Bank PLC

1. Acuity Partners (Private) Limited2. ADL Equities Ltd3. Asha Financial Services Limited 4. Assetline Leasing Company Limited5. Bansei Securities Finance (Pvt) Ltd6. Bartleet Finance PLC7. Candor Capital (Private) Limited 8. Capital Alliance Finance PLC9. Capital Trust Credit (Private) Limited10. Citizen Development Business Finance PLC11. Commercial Bank of Ceylon PLC12. DFCC Vardhana Bank PLC13. First Capital Markets Limited14. George Steuart Finance PLC15. Hatton National Bank PLC16. J B Credit (Pvt ) Ltd

1. ADL Asset Management Limited2. Amana Capital Ltd3. Arpico Ataraxia Asset Management (Pvt) Ltd4. Asset Trust Management (Pvt) Ltd 5. Assetline Capital (Pvt) Ltd6. Bank of Ceylon 7. Bartleet Asset Management (Pvt) Ltd8. Bartleet TransCapital Limited 9. Candor Asset Management (Private) Limited 10. Capital Alliance Investments Limited 11. Capital Trust Wealth Management (Pvt) Ltd 12. Ceybank Asset Management Ltd13. Ceylon Capital Market Advisors Limited 14. Comtrust Asset Management (Pvt) Ltd15. First Capital Asset Management Limited 16. GIH Capital Limited17. Guardian Acuity Asset Management Limited 18. Guardian Fund Management Limited

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. Entrust Capital Markets (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 Ltd (Debt Securities)33. NSB Fund Management Co. Ltd (Debt Securities)34. Acuity Securities Ltd (Debt Securities)35. Perpetual Treasuries Ltd (Debt Securities)36. Entrust Securities PLC (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. ICRA Lanka Limited 3. Lanka Rating Agency Limited

MARKET INTERMEDIARIESREGISTERED AS AT 31st January 2015

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. Acuity Securities Ltd- (Debt Securities)2. Bartleet Religare Securities (Private) Limited- (Debt Securities)3. Capital Alliance Limited - (Debt Securities) 4. Commercial Bank of Ceylon PLC- (Debt Securities)5. Enterprise Ceylon Capital (Pvt) Ltd 6. First Capital Markets Limited- (Debt Securities)7. JB Securities (Private) Limited8. NatWealth Securities Limited - (Debt Securities)9. NSB Fund Management Co. Ltd -(Debt Securities)10. Perpetual Treasuries Ltd-(Debt Securities)11. Seylan Bank PLC- (Debt Securities)12. SMB Securities (Private) Limited- (Debt Securities)13. Softlogic Stockbrokers(Pvt) Ltd 14. Wealth Trust Securities Ltd - (Debt Securities)15. Entrust Securities PLC - (Debt Securities)

STOCK BROKERS AND STOCK DEALERSLICENSED AS AT 31st January 2015

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:

Securities and Exchange Commission of Sri LankaLevel 28 & 29, East Tower, World Trade Center, Echelon Square, Colombo 01

Tel: 011 2439144, 011 2331013 Fax: 011 2439149 Email:mail@sec.gov.lk Website:www.sec.gov.lk