자본시장과금융투자업에관한법률위반
The defendant shall be innocent.
1. The summary of the facts charged is a person who was engaged in the development and management of derivatives in D from July 4, 2005 to July 3, 2009 and retired from office.
D on April 18, 2008, issued and sold stock-linked securities (ESS; hereinafter “instant ES”). The instant ESS is an underlying asset of POSCO stocks (hereinafter “POSCO stocks”) and SK Energy Stock Co., Ltd. on April 19, 2010 after the maturity of 452,00 won, the initial price standard of POSCO stocks was 120,000 won, and the initial base price of SOSCO stocks was 120,000 won before maturity of 6 months before maturity of 20: (i) an interim assessment date (i.e., the 1st:08, Oct. 15, 2008; 2nd:4: 15th, Apr. 15, 2009; 10th, 2014: 10th, 2007: 3rd, more than the first 5th,000 trading price of underlying assets; and (ii) an interim assessment date (i.4th, 10% or more.
The defendant paid sales and purchase orders of SK Energy Stocks, which are underlying assets, to the Korea Exchange through D accounts (Account Number: E) opened in D Asset Management Headquarters.