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(영문) 서울남부지방법원 2017.09.19 2017고단3075
자본시장과금융투자업에관한법률위반
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1. The defendant shall be punished by a fine not exceeding 10 million won;

2. If the defendant does not pay the above fine, 10,000 won.

Reasons

Punishment of the crime

The Defendant is a former employee of D Derivatives Management Division, and E (Supreme Court Decision 7 million won, December 4, 2013, and the foregoing Decision 9 December 12, 2013,) is a F employee.

No one shall make a mistake that the trading of listed securities or derivatives in the future is likely to lead another person to make a wrong judgment with regard to the trading of listed securities or derivatives in collusion with another person to buy and sell the securities or derivatives in the future at the same price as the one he/she sells and purchases them for the purpose of leading another person to make a wrong judgment or at the same time as he/she sells and purchases them at the same price or an agreed value.

Nevertheless, on March 12, 2012, when the Defendant was in charge of the ELW liquidity supply business, due to the implementation of the restrictive measures by the ELW Ho on March 12, 2012, the Defendant was expected to attract trading by artificially increasing the trading of the ELW item in his/her responsibility and by inducing the misunderstanding that the trading is a sexual situation.

Accordingly, on May 2, 2012, the Defendant issued an order to sell 150,000 won securities to an account in the name of ELW LP from a computer installed at a D office, using the HTS in the name of a subsidiary branch of D derivatives management, and E sells 11:52:18 on the same day to 15 won with an account in the name of E from the Hongdong branch of D Investment Securities Hongdong, and entered into an order to purchase 100,000 won securities from April 27, 2012.

5. From November 1, 200 to 11, two accounts with 11 ELW items including “G” were used in the name of ELW LP branches, and 171 times in total, including 14.5 million won in the name of E branch with red stocks of Korea, and 2,8250,000 won in collusion with securities was acquired.

Summary of Evidence

1. Statement by the defendant in court;

1. Protocol concerning the interrogation of suspects of E by the prosecution;

1. Statement made by the prosecution with regard to H;

1. Within the scope of the results of survey and disposition of the gold reduction;

1. A and E.

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