자본시장과금융투자업에관한법률위반
Defendants shall be punished by a fine of seven million won.
Defendant
If A does not pay the above fine, it shall be 100.
Punishment of the crime
Defendant
A is the representative director of Company B, and Defendant B is a corporation established for the purpose of investment advisory, etc.
1. Defendant A may not engage in investment advisory business or discretionary investment business, unless he makes the registration for the financial investment business to the financial authorities;
Nevertheless, from March 19, 2014 to March 10, 2015, the Defendant recruited stock investors through Internet advertisements, etc. in the above B offices located in the fiveth floor of the building in Gangnam-gu Seoul, Gangnam-gu, Seoul, through Internet advertisements, etc., and operated a discretionary investment business without registering the investment business by receiving 2-3% out of 8-10% of the profits from stock investments as a monthly unit and returning 2-6-7% of the profits from stock investments to investors and acquiring 6-7% of the remaining 6-7% of the profits from stock investments as a fee as shown in the attached list of crimes.
2. Defendant B, the representative director of the Defendant, carried out the unregistered discretionary investment business as above in relation to the Defendant’s business.
Summary of Evidence
1. Defendants’ legal statement
1. Documents to be attached to the statement (the F of an enterprise bank and the G account transactions);
1. Application of Acts and subordinate statutes to a report on investigation (in addition to an investment contract and preparation of a list of crimes);
1. Article 45 subparagraph 1 of the Financial Investment Services and Capital Markets Act - Articles 445 subparagraph 1 and 17 (Selection of Fines) of the same Act - Defendant B: Articles 448, 445 subparagraph 1 and 17 of the Financial Investment Services and Capital Markets Act;
1. Articles 70(1) and 69(2) of the Criminal Act (Defendant A) of the Criminal Act for the detention in a workhouse;
1. The sentence shall be determined as per the order, comprehensively taking into account the following factors: (a) the reason for sentencing under Article 334(1) of the Criminal Procedure Act; (b) the period of business without registration; (c) the number of investors who were placed in office; (d) the amount of investment; and (c) the character and conduct, environment