자본시장과금융투자업에관한법률위반
[Defendant A and C] Defendants shall be punished by imprisonment with prison labor for 6 months and fine for 10,000,000 won.
The above fine is imposed against the Defendants.
Punishment of the crime
Defendant
A is the representative director of B Co., Ltd. which carries out capital increase for non-standing companies, and Defendant C is the representative director of D Co., Ltd. who carries out similar investment advisory business.
The Defendants recruited investors and recruited Defendant C to operate an investment brokerage business without obtaining authorization for financial investment business by securing the shares of the company to be invested.
1. No one shall engage in financial investment business without authorization for a financial investment business;
Nevertheless, the Defendants conspired to arrange 22,280 shares of “H” as shown in the attached list of crimes (1) from September 3, 2012 to November 1, 2012 without the authorization of the competent authorities, and arrange 36,910 shares of “I” as shown in the attached list of crimes from October 23, 2012 to December 21, 2012. From December 18, 2012 to February 19, 2013, the Defendants arranged 110,940 shares of “J” as listed in the attached list of crimes (2).
As a result, the Defendants conspired to engage in financial investment business without obtaining authorization.
2. From January 29, 2013 to February 19, 2013, Defendant B, a representative of the Defendant, with respect to the Defendant’s business, committed an offense by mediating 22,600 shares of the J “J” as in the attached list of crimes (4) without obtaining authorization from the competent authority.
3. From October 30, 2012 to February 19, 2013, Defendant D Co., Ltd.: (a) the representative C of the Defendant, without obtaining authorization from the competent authority, committed an offense by mediating 4,500 shares of “H”; (b) 36,410 shares of “I”; and (c) 110,940 shares of “J”.
Summary of Evidence
1. Each legal statement of the defendant C (8) and A (10) in each trial date;
1. Each total amount of sales contract, account details, account statement, account description statement, inquiry of requests for details of demand transactions, and the details of each demand transaction.