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(영문) 광주지방법원 2013.07.09 2013고정924
자본시장과금융투자업에관한법률위반
Text

Defendant shall be punished by a fine of KRW 10 million.

If the defendant does not pay the above fine, 50,000 won.

Reasons

Punishment of the crime

The Defendant, from March 2010 to October 2010 of the same year, worked as the vice president of the company E, a corporation established by D, the representative director of “C” (hereinafter “C”) who is a funeral on KOSDAQ, as the subsidiary, and promoted the ED business along with the above D.

Considering that the prospect of the PED business, which C has been promoted from D, has a high possibility of success and that C's stock price is low compared to the same company, the Defendant would gain a large amount of profit in the future. Although the Defendant intended to purchase C's stocks in large quantity, it was intended to obtain a large amount of money, but the remaining funds are limited to about KRW 200 million per individual, but the limit on credit transaction by the securities company is limited to KRW 6,00,000,000,000,000 won, including KRW 8,40,000,000,000,000,000,000 won, including KRW 2,26,000,000,000,000,000,000,000 won.

Upon receiving a loan of the above 1.4 billion won, the Defendant maintained the minimum collateral ratio (140% and approximately 1.960 million won) set by the securities company as of the closing price on the day the total amount of the collateral value (2.2 billion won, the total appraised value of the securities account) for the Defendant’s credit transaction loan between the securities company and the securities company. However, if the stock price falls below the minimum collateral ratio due to the decline in the stock price, the Defendant shall deposit the shortage into the securities account for a period of one (2 days including the date of occurrence) day of grace (2 days including the date of occurrence) and if it is not possible to deposit the shortage until the date set by the securities company, the securities company, regardless of the intent of the Defendant, decided to trade the difference against the securities company (the amount x ).

In this situation, the defendant operates the C Stock Price through eight securities accounts, such as the Han Securities Account in the name of the F, in order to prevent damage from the counter-trade of the securities company and to pay profits therefrom, and let another person do so.

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