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(영문) 서울남부지방법원 2019.02.15 2018고단2823

자본시장과금융투자업에관한법률위반

Text

Defendant

A, B, C, and D are punished by a fine of KRW 10 million, Defendant E is punished by a fine of KRW 20 million.

Reasons

Punishment of the crime

【Status of Defendant A” (hereinafter referred to as “A”) is the former largest shareholder of the K in charge of the dispute resolution council (hereinafter referred to as “H”), Defendant C is a person who works for the representative director of A from September 9, 2008 to March 29, 2013, Defendant D is a person who works for the representative director of A from March 29, 2013, Defendant B is a person who works for the representative director of A from March 29, 2013, Defendant B is the largest shareholder of H, Defendant E’s representative director, Defendant F and Defendant G are credit service providers.

[Specific Crime]

1. Matters related to Defendant A’s violation of duty to report in bulk;

(a) A person who holds stocks, etc. of a defendant C-listed corporation (referring to cases where the total number of stocks, etc. held by the person himself/herself and his/her specially related persons is at least 5/100 of the total number of such stocks, etc.) shall report the status of holding, purpose of holding, details of major contracts on the stocks, etc. held, and other matters prescribed by Presidential Decree to the Financial Services Commission and an exchange within five days from the date of holding, as prescribed by Presidential Decree, and where the total number of such stocks, etc. is changed by at least 1/100 of the total number of such stocks, etc. (excluding cases where the number of stocks, etc. is not changed or where other matters prescribed by Presidential Decree

From September 9, 2008 to March 29, 2013, the Defendant, while working as the representative director of A, acquired H’s preemptive right 1,334,474 shares on May 26, 201, and reported on June 22, 201, the Defendant violated the obligation to report possession of stocks six times as shown in attached Table 1 from that time to December 4, 2012, including the omission of the fact that the Defendant provided the above shares 6,122,533 shares on December 22, 201 and the false report was made.

B. Defendant D is the representative director of A from March 29, 2013.