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(영문) 서울중앙지방법원 2013.12.04 2013고정4868

자본시장과금융투자업에관한법률위반

Text

Defendant shall be punished by a fine of KRW 7,000,000.

If the defendant does not pay the above fine, 50,000 won.

Reasons

Punishment of the crime

Defendant is an employee of a new bank, and C is an employee of the derivatives management division in lieu of securities.

No one shall sell securities or exchange-traded derivatives in collusion with another person to buy and sell the securities or exchange-traded derivatives at the same time as he/she sells and purchases them for the purpose of leading another person to make a wrong judgment, or at the same price or an agreed value as he/she sells and purchases them, with the intention of causing another person to make a wrong judgment.

Nevertheless, on March 12, 2012, when C is in charge of the ELW liquidity business, due to the implementation of the ELW safeguard measure on March 12, 2012, C has sharply decreased the ELW sales and became out of the investors, C has formulated a plan to induce the trading by artificially increasing the trading of the ELW items in his/her responsibility and by inducing the misunderstanding that the trading is in a sexual situation.

C In this regard, on May 2, 2012, using the HTS of a computer installed at a securities office instead of HTS from a bank account in the name of the ELP branch of a bank operating unit of alternative securities to sell 150,000 won securities for 150,000 won, and the Defendant issued an order to sell 11:52:18 on the same day to A of the 11:52:18 Korea Investment Securities Hong-dong branch of the Hong-dong branch of Korea Investment Securities to purchase KRW 15,00 won, and enter into an order to purchase 10,000 won in full, from April 27, 2012.

5. From November 1, 200 to 11, 200,000 won, 2,8250,000 won was obtained by entering into a conspiracy with 171 times a total of 1,450,00 won as shown in the attached Table of Crimes, by using two accounts such as the ESW account in the name of the ELP branch in the Securities and Exchange Operating Department, and the Hongdong Branch in Korea Investment Securities Hongdong Branch A, as indicated in the attached Table of Crimes.

Summary of Evidence

1. Defendant's legal statement;

1. Statement made to D by the police;

1. Application of Acts and subordinate statutes on the results of the investigation of reduction of tax sources and the resolution proposal;

1. Criminal facts;