No one shall engage in financial investment business without obtaining authorization from a financial committee member's association.

Nevertheless, on July 15, 2016, the Defendant received KRW 32 million from investors C to the KEB bank account in the name of the Defendant, and again transferred it to the KEB account in the name of the Defendant, and purchased derivatives on the Defendant’s account, including purchase of derivatives on the Defendant’s account. From December 12, 2012 to September 22, 2016, the Defendant purchased derivatives on the Defendant’s account by obtaining KRW 2.5 million in total from 12 investors to 89 times in total from September 2, 2016 as indicated in the list of crimes in the attached Form.

Accordingly, the defendant is engaged in investment trading business without obtaining authorization for financial investment business.

Summary of Evidence

1. A protocol concerning the suspect examination of the accused by the prosecution;

1. Statement made by the police against C;

1. Copies of a complaint and a complaint;

1. Application of the Acts and subordinate statutes for investigation reporting;

1. Article 44 subparagraph 1 or Article 11 of the Financial Investment Services and Capital Markets Act concerning criminal facts;