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1. Defendant A shall be punished by imprisonment for six months.
However, the above sentence shall be executed for a period of one year from the date this judgment becomes final and conclusive.
Reasons
Punishment of the crime
Defendant
A is a person who operates a company for the purpose of providing securities, providing financial consulting, operating financial investment instruments, etc. with the trade name called Yeongdeungpo-gu Seoul Metropolitan Government D Building E, and Defendant B is an employee of the Gangnam-gu Seoul Metropolitan Government Gangnam Finance Center from the 6th floor of the G building, and Defendant C is an employee in charge of investor guidance, etc. in the F.
1. No person who is a defendant A shall engage in daily forestry for investment without having his/her financial investment business registered;
Nevertheless, the Defendant, without registering a financial investment business from January 5, 2015 to May 18, 2017, received a request from 17 persons, such as I, J, K, L, M, N,O, P, Q, Q, Q, R, T, U, V, W, X, and Y, and operated a non-registered forestry as described in the attached list of crimes.
2. When and at the same time and place as in the preceding paragraph, the Defendant: (a) knew of the fact that the said A was a person engaging in an unregistered investment-free forestry; (b) opened a securities account for the said 17 persons who are customers of H (State); (c) opened a securities account for the said 17 persons; and (d) registered C, an employee of H (State) with the said securities account, under the direction of A; and (e) registered C, who is an employee of H (State), as an agent of the investment in the Gangnam Southern Bank of Korea Investment Center, as if he introduced C to H (State) by facilitating the Defendant’s criminal act by allowing A to receive fees from H (State) by facilitating the Defendant’s non-registered investment-free investment-related forestry business.
3. When the Defendant, at the same time, and at the same place as in the preceding one, carried out forestry without registration as above, the Defendant: (a) knew that the said A was a person who is a registered-free investment forest; (b) under the direction of A, he prepared lecture materials at the time of giving lectures to investors; and (c) recruited investors through lectures, etc.