1. Defendant shall be punished by a fine of KRW 10,000,000;

2. Where the defendant does not pay the above fine.

Punishment of the crime

From January 2007, the Defendant was an employee in charge of the management of securities accounts opened in the name of investors C from September 2010 to the new financial investment company, which is a financial investment business entity, as an employee in charge of the management of stocks, financial instruments, customer assets, etc.

1. At the E-legal office located in Mapo-gu Seoul Metropolitan Government on April 14, 2014, in order to compensate for part of the loss suffered by the said C, one promissory note issued to C at par value of KRW 50,000,000, and on April 1, 2020 on the date of payment, to the effect that a notary public does not raise any objection even if he/she is subject to compulsory execution when he/she delays the payment of the bill for the bill on the same day, one copy of the Promissory Notes No. 346) issued in the E-legal office to the effect that a notary public does not raise any objection even if he/she is subject to compulsory execution;

2. On May 7, 2014, in order to compensate for part of the loss sustained by C at the place referred to in the foregoing paragraph (1) above, in order to issue to C one promissory note with face value of 50,000,000, and one promissory note with face value of 50,000,000 to C on May 7, 2021 on the same day, and in the event of delay in the payment of the promissory note with respect to the said note on the same day, a notary public does not raise any objection even if he/she is subject to compulsory execution, one copy of the promissory note process (certificate number: No. 421) prepared by the E-legal office;

3. On September 2, 2014, in order to promise in advance to guarantee a certain amount of profit to C at the place under the foregoing Paragraph 1, in order to operate a securities account opened in the name of C and pay 10,000,000 per month to C, and in the event that there is a benefit of KRW 20,000,000 per month, one copy of a share account transaction agreement with the purport that the Defendant will hold the excess amount;

4. At around October 17, 2014, in order to compensate for part of the loss sustained by C at the places referred to in the foregoing paragraph (1) above, a notary public shall issue to C one promissory note with face value of 277,715,662 won, and one promissory note with face value of 277,715,62 won, and payment due date of January 17, 2015. If a notary public delays the payment of the note with respect to the note on the same day, he/she shall have no objection even if he/she is immediately subject to compulsory execution.