Defendant shall be punished by a fine of KRW 100 million.

In order to order the provisional payment of an amount equivalent to the above fine.

Punishment of the crime

Defendant

The Dispute Resolution Co., Ltd. is a specialized credit financial company established on October 1, 2007, and D is a person who has been in office as the representative director of the Dispute Resolution Co., Ltd. from October 2007 to October 31, 2007 and has overall management including investment affairs, and E is a person who has been in office as the head of the Investment Finance Headquarters of the Dispute Resolution Co., Ltd. from January 1, 2008 to December 31, 2014 and has been in charge of bond investment, public offering investment, etc.

On February 2, 2010, E received a request from H to “A to participate in the demand forecast in the items, price, and quantity determined by the Dispute Resolution Agreement and received a demand forecast in lieu of the public offering share” from the K operating the non-listed stock intermediary in the office of a dispute resolution company in Dongjak-gu Seoul Metropolitan Government, and offered with D to receive the purchase price and fees of the public offering share from the private offering company in lieu of the public offering share.”

E and D received KRW 2,847,00,00 as a commission fee by acquiring KRW 2,190 shares ( KRW 13,000 per share) from the competent company after participating in the prediction of demand for the undisclosed shares and in quantity as determined by H around February 2, 2010 according to such public offering.

E and D, including this, from May 2009 to June 2014, throughout the limit of 2,300,138,000 won, as listed in the attached list of crimes, E and D, throughout the total of 10 times, have mediated the purchase and sale of public offering shares in a total of 2,30,138,00 won, and, throughout the total of 571,609,600 won, E and D have mediated the purchase and sale of public offering shares in a total of 17,35,459,350 won in total to the K and the Han-gu Partnership Co., Ltd., without obtaining the fee of KRW 628,674,361, a total of 180, a financial investment business without obtaining the authorization of a financial investment business from the financial members.

As above, Defendant D et al. committed such a violation.

Summary of Evidence

1. Statement by the defendant in court;

1. A protocol concerning the examination of suspect by the prosecution against D or E;

1. I.D.