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(영문) 서울남부지방법원 2016.08.11 2015고정2635
자본시장과금융투자업에관한법률위반
Text

Defendant

A shall be punished by a fine of KRW 7,000,000.

Defendant

If A does not pay the above fine, 100,000 won.

Reasons

Punishment of the crime

A person who holds stocks, etc. of a stock-listed corporation in a large quantity (where the total number of stocks, etc. held by him/herself and any specially related person are at least 5/100 of the total number of such stocks, etc.), shall report to the Financial Services Commission on his/her holding status, purpose of holding the stocks, etc., and terms and conditions of major contracts on the stocks, etc. held by him/her, within five days from such date, and where the total number of stocks, etc. held is changed by at least 1/100 of the total number of such stocks, etc., he/she shall report the change to the Financial Services Commission and the Exchange within five days from such change date, and where any ground to report new matters to be reported occurs by the day immediately before the date on which the report is to be filed,

An executive officer or major shareholder of a stock-listed corporation shall report to the Korea Futures Commission and the Exchange the ownership status of specific securities, etc. owned on his/her own account regardless of in whose name the ownership of such specific securities, etc. is changed within five days from the date on which he/she becomes an executive officer or major shareholder, and shall report the changes in the ownership of such specific

Defendant

A is the actual representative of corporation E.

On November 16, 2011, F Co., Ltd. owned 1,681,838 shares of F Co., Ltd. (13.55%) and disposed of part of shares by means of securities accounts in the name of G, H, I, J, and K, thereby changing the total number of shares held by E on June 26, 201 to 1,587,838 shares (12.18%) and changed to 1/100 or more of the total shares.

Therefore, even though the change should be reported to the Financial Services Commission and the Exchange until July 3, 2012, two times from around that time to August 3, 2012, including the failure to make a large amount of possession, etc., as shown in the list of crimes in the attached Form.

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