자본시장과금융투자업에관한법률위반
Defendant shall be punished by a fine for negligence of KRW 50,000,000 (Mive thousand).
If the defendant fails to pay the above fine, 50.
Punishment of the crime
1. Any person who violates the Financial Investment Services and Capital Markets Act due to the violation of a duty to report the holding of stocks of a stock-listed corporation by aggregating the stocks held by the person and his/her specially related persons shall report the holding status, purpose of holding, details of major contracts on the stocks held, etc. to the Financial Services Commission and the Korea Exchange within five days from the date of such violation, and where the total number of stocks held is changed by 1/100 or more of the total number of the stocks held, the defendant violated the duty to report holding of stocks on two occasions as follows, even though the changes are reported to the Financial Services Commission and the
The Defendant, from March 11, 2009 to May 29, 2009, purchased 103,098 shares of the Ansan Water Research Institute Co., Ltd. (hereinafter referred to as the “Haan Water Research Institute”) from around March 11, 2009 to increase the stock holding ratio from 9.18% to 10.21%, despite the occurrence of the obligation to report changes in stock holding, the Defendant violated the obligation to report the changes in stock holding by June 10, 2009, by failing to report the said changes until June 10, 2009.
B. On July 27, 2010, the Defendant provided a new bank with 450,000 shares (4.49%) of the shares issued by the Intelecommunications Research Institute (9.99%) held by the Defendant as security, and thus, despite the occurrence of the obligation to report the change in the holding of shares, the Defendant violated the obligation to report the change in the holding of shares on August 3, 2010, by failing to report the said change by August 3, 2010.
2. A major stockholder of a stock-listed corporation in violation of the Financial Investment Services and Capital Markets Act due to the violation of duty to report stocks owned shall own specific securities, etc. owned on his/her own account, regardless of in whose name the stockholder becomes the major stockholder, and make changes in the ownership of such specific securities, etc.;