DAOL INVESTMENT MANAGEMENT COMPANY LIMITED| | Offering Date : 21/09/2020 - 25/09/2020

applicable to mutual fund management company, but AIA Company Limited failed to comply with the provisions being applicable to mutual fund management company in case of redemption payment process when the

management company in case of redemption payment process when the insured has died by redeem investment units exceed than the time period specified in the scheme. The amount of fines does not include daily

receive necessary and useful information for using the intermediary?s service or for making a decision of investment in foreign mutual fund. SEC Act S.113 Settlement Committee Meeting No. 3/2020

systems which may cause serious damage to the benefit of the people. SEC Act S.133 paragraph 1 and 133 paragraph 2 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 8/2020 Dated 13

accordance with the approved mutual fund project and the commitment made with the unitholders. SEC Act S.125(1) Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 25/2020 Dated 02/09

which may cause serious damage to the benefit of the people. SEC Act S.117 133 paragraph 2 and 136 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 8/2020 Dated 13/03/2020

people. SEC Act S.283 paragraph 1, 283 paragraph 2 and 285 bis paragraph 3 Settlement Committee Meeting No. 3/2020 Settlement Committee Order No. 18/2020 Dated 20/05/2020

mutual funds and private funds which did not analyze and estimate the value of the IPO securities adequately and appropriately. SEC Act S.117 and 133 paragraph 2 Settlement Committee Meeting No. 3/2021

of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3