자본시장과금융투자업에관한법률위반
Defendant shall be punished by a fine of KRW 20,000,000.
When the defendant does not pay the above fine, 100,000 won.
Punishment of the crime
A person who holds stocks, etc. issued by a stock-listed corporation (referring to cases where the total number of stocks, etc. held by a specially related person or joint holders is at least 5/100 of the total number of stocks, etc.) shall report to the Financial Services Commission and B on the status of holding, purpose of holding, details of major contracts, etc. on the stocks, etc. held, in accordance with Acts and subordinate statutes, within five days from such date, and where the total number of stocks, etc. held is changed by at least 1/100 of the total number of stocks, etc., he/she shall report
The defendant has been in charge of investment affairs in accounting corporation for 10 years, and is a professional investor dealing with shares in the friendship and name of a person, such as investing in convertible bonds and bonds with warrants.
On August 29, 2014, the Defendant decided to purchase the 7th convertible bonds [type: 7 billion won in convertible bonds with non-registered interest coupon, 7 billion won in total: 1,435 won in the form of convertible bonds with non-registered interest coupon, 1,309 won in the form of convertible bonds, and 1,309 won in the form of conversion: (i), 1,309 won in the form of conversion; (ii) 1,005 won in the period of request for conversion: from September 29, 2014 to July 29, 2017] by a securities company, which is listed in the Seocho KOSDAQ, and the Defendant did not report to the Financial Services Commission on the acquisition of stocks by up to 31 securities, such as the name of the principal and specially related persons [the name of joint holders and joint holders], and did not hold the 1,059 billion won in the form of stocks by up to 305% in the form of stocks held by the said securities company.
Between September 2, 2014 and March 21, 2016, the Defendant, including this, shall determine to purchase and sell additional convertible bonds, and to sell stocks converted through the exercise of convertible rights, and to grant authorization for the rehabilitation plan.