자본시장과금융투자업에관한법률위반
Defendant shall be punished by a fine of KRW 15,000,000.
If the defendant does not pay the above fine, 50,000 won.
Punishment of the crime
On March 16, 2009, the Defendant registered as a registration director of C Co., Ltd. (hereinafter referred to as “C”), a corporation listed on KOSDAQ, and worked as a management support director until he/she withdraws from the office on March 16, 201, while exercising overall control over funds, personnel affairs, and accounting affairs, and was in charge of the reporting of disclosure.
1. A person who becomes aware of material nonpublic information in connection with his/her duties as an executive of a corporation listed on KOSDAQ in violation of prohibition on the use of material nonpublic information shall not use it for the sale and purchase of specific securities, etc. or allow any other person
A. On November 201, 2010, the Defendant violated the prohibition of use of undisclosed information related to operating income and sales fluctuations, and was reported by the Director of the Accounting Division D to reduce C’s operating income from KRW 1 billion and declineed by 329% compared to the foregoing in the process of preparing the draft 20 financial statements at the early 20th Police Officer. The net income for net income was reduced by 80 million won and reduced by 392% compared to the foregoing.
The Defendant, on November 10, 2010, sold 11,600 shares owned by the Defendant, which were kept in the account of a member of the cooperative, to the Hyundai Securities account in the name of the Defendant, and sold 11,600 shares on November 9, 2010 on November 16, 2010.
On December 7, 2010, after the Defendant sold shares, “a change of at least 30% of the sales or profit and loss structure” of C was published through the Electronic Publication System (DART) and was disclosed to the public on December 7, 2010 so that many and unspecified persons can be known. < Amended by Presidential Decree No. 22508, Dec. 7, 2010>
As a result, the Defendant would avoid the loss of KRW 20,214,928 by using important information, such as “20% or more of the sales amount or the profit and loss structure,” which is not open to the public in relation to the business, for the sale and purchase transaction of securities issued by the corporation.