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(영문) 서울중앙지방법원 2014.05.29 2014고단1320
자본시장과금융투자업에관한법률위반
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A defendant shall be punished by imprisonment for not less than eight months.

except that the execution of the above punishment shall be suspended for two years from the date this judgment becomes final and conclusive.

Reasons

Punishment of the crime

No one may engage in discretionary investment business, without making a registration for the financial investment business to the Financial Services Commission.

Nevertheless, on October 2006, the Defendant, without registering the financial investment business, was authorized to make an investment from D at the office of office of office of office of office of office of office of office of office of office of Gangnam-gu Seoul, Seoul, and invested in the method of acquiring and disposing of a OSP 200 futures and options from April 2007.

As such, the Defendant, without registering the financial investment business from October 206 to December 2, 2009, operated a discretionary investment business by obtaining the ID and password of the account deposited in KRW 18,804,557,203 in total from the Gangnam-gu Office’s office to the beginning of December 201, 201, by obtaining a total of 26 investors, such as the list of crimes, from the office of Gangnam-gu Seoul to the beginning of December 2009.

(B) The summary of the evidence is that the sum total of KRW 31,513,557,203 is recognized as KRW 18,804,557,203, not the sum total of KRW 31,513,557,203, as stated below.

1. Partial statement of the defendant;

1. Statement of the police statement concerning F;

1. An individual statement of management of the customer account;

1. A search and seizure warrant applicable to accounts and a statement of execution data;

1. Reporting on the discretionary investment in the operation of an account in the name of the NAF Nong Securities Suspect;

1. Investigation report (specific details of the discretionary investment);

1. Application of each proxy statute;

1. Relevant Article 45 of the Financial Investment Services and Capital Markets Act and Articles 445 subparagraph 1 and 17 of the same Act concerning facts constituting an offense;

1. The portion not guilty under Article 62 (1) of the Criminal Act (including the following circumstances in light of the reasons for sentencing);

1. The defendant alleged in this part of the facts charged.

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