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(영문) 서울남부지방법원 2018.06.08 2017고단3236

자본시장과금융투자업에관한법률위반

Text

A defendant shall be punished by imprisonment for one year.

11,587,90 won shall be additionally collected from the defendant.

Reasons

Punishment of the crime

[criminal record] On December 19, 2013, the Defendant was sentenced to one year and six months of imprisonment, two years of suspended execution, and the above judgment became final and conclusive on December 27, 2013, for a crime of violation of the Act on the Aggravated Punishment, etc. of Specific Economic in the Residential Support of the Daegu District Court.

[2] A person who is an executive officer, employee, or agent of a listed corporation or listed corporation and becomes aware of any material nonpublic information in connection with his/her duties (including a person in whose case one year has not passed since he/she no longer fell under such provision) shall not use, or allow another person to use, any material nonpublic information related to the business of the corporation in the sale and purchase of specific securities

From May 25, 2009 to November 15, 2010, the Defendant served as the representative director of a stock company B (hereinafter referred to as “B”) and served as the vice president of B from March 31, 201 to October 6, 201. From April 7, 2011 to October 6, 2011, the Defendant served as the representative director of C (hereinafter referred to as “C”).

The Defendant served as a director in charge of business administration B around August 5, 2011.

D Designation as an issue of management from D

The accountant of E accounting corporation in charge of the semi-annual audit of B was found to have demanded financial statements for B's subsidiaries to prepare consolidated financial statements.

However, as the subsidiaries of B did not prepare financial statements due to estacom, the Defendant became aware of the material nonpublic information that the E accounting firm would submit the audit opinion or audit opinion on the grounds of the lack of new business plan and the financial statements of the subsidiaries around that time.

When the Defendant came to know of such undisclosed information as above, the Defendant used it to use it to August 17, 201, and from August 25, 2011, C possessed in the name of G.

B A total of 350,000 shares (125,000,000 won) were sold in full, thereby avoiding losses equivalent to KRW 111,587,90.

(i) the evidence;