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(영문) 서울서부지방법원 2012.10.11 2012고단810
자본시장과금융투자업에관한법률위반
Text

Defendant

A Imprisonment of one year and a fine of 15,000,000 won, Defendant B’s imprisonment of ten months and fine of 10,000,000 won.

Reasons

Punishment of the crime

Defendant

A From February 201 to February 16, 2011, G Co., Ltd. (HTS) and from February 17, 2011 to February 201, 201, as a supplier company, a private futures investment brokerage and home trading system (HTS) program production and supplier company (HTS from November 28, 2010).

4. He is a person who actually operated the HTS program production and supply company in Mapo-gu Seoul Metropolitan Government I building 1201.

Defendant

B From February 2010 to February 16, 2011, a person who was in charge of the development, maintenance, repair, and supply of the HTS program as an auditor of the said G, and was in charge of the futures investment brokerage business while operating the said H from February 17, 201.

Defendant

C A corporation is a corporation established for the purpose of planning and producing broadcasting products.

1. Defendant A and B

(a) No one shall run financial investment business without obtaining an authorization therefor from the Financial Services Commission in violation of the Financial Investment Services and Capital Markets Act;

The Defendants, with the knowledge that in order for the general public to conduct futures trading, they should open an account with a minimum of KRW 20 million deposited in a securities company and conduct transactions only through the relevant account. The Defendants, with the knowledge of the fact that they did not prepare large amount of consignment guarantee money, were willing to arrange for futures trading through the securities company account with a deposited in a securities company and receive profits from those who use the said account at a certain rate.

Defendants did not obtain authorization from the Financial Services Commission, together with J, professional document K, employee L, M, etc., the nominal president, from February 17, 2010 to March 21, 201 (Provided, That the Defendants’ participation from February 16, 201 to February 16, 201) at the above G(H) office, set up a site for illegal private futures trading and set up a certain percentage.

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