증권거래법위반
Defendant shall be punished by imprisonment for two years and fine for 2,00,000 won.
When the defendant does not pay the above fine.
Punishment of the crime
From November 14, 1994 to March 30, 2001, the Defendant is a person who served as a representative director of Korea Securities Dealers Association (hereinafter referred to as the “Association”) registered corporation D (hereinafter referred to as “D”).
1. Where a stock-listed corporation or Association-registered corporation holds stocks, etc. (not less than 5/100 of the total number of stocks, etc.), its holding status shall be changed within five days from the date on which such change occurs, and where there is a change in the holding ratio by not less than 1/100 of the total number of stocks, etc. of the relevant corporation, the corporation shall report the change to the Financial Supervisory Commission and the Stock Exchange
A person who holds approximately 21.57% of the total number of D/D stocks, and the Defendant acquired 11,000 shares in the name of E on December 6, 199, in the name of E 14,639, in the name of F, 11,000 shares, and 25,639 shares (2.56% of the total number of shares) in the name of F, and did not report this to the Financial Supervisory Commission and the Association from that time, as shown in the Schedule of Crimes (1) by March 12, 201, and did not report the changes in the share ratio to E, G, H, I, J, J, or K on 12 occasions in the course of trading them.
2. Officers or major stockholders of any stock-listed corporation or any Association-registered corporation shall report the status of holding stocks of the relevant corporation owned on their own account regardless of in whose name the stocks are held, and the details thereof to the Securities and Futures Commission and the Stock Exchange or the Association not later than the 10th of the month following the month in which there is any change in the number of stocks held, if there is any change in
After reporting D’s 215,673 shares (21.57% of the total number of shares) held as D’s officers and major shareholders, the Defendant, from December 24, 199 to March 12, 2001, issued D’s shares in the name of F, etc., such as F, as stated in (1) Nos. 2 through 5, and 7 through 12.