logobeta
본 영문본은 리걸엔진의 AI 번역 엔진으로 번역되었습니다. 수정이 필요한 부분이 있는 경우 피드백 부탁드립니다.
텍스트 조절
arrow
arrow
(영문) 대구지방법원 2013.11.20 2013고단5468
자본시장과금융투자업에관한법률위반
Text

Acquittal of the accused shall be acquitted.

Reasons

1. On February 14, 2013, the Defendant was sentenced to a suspended sentence of six months for a violation of the Financial Investment Services and Capital Markets Act at the Daegu District Court, and the said judgment became final and conclusive on August 22, 2013.

From March 15, 2005, the Defendant, who had been working as an insurance solicitor (FSR) at the B C branch from around March 15, 2005, received money from D as the property option investment name, and had D pay KRW 6 million per month in the name of D using such money, and had him receive allowances, etc. under the said insurance.

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

Nevertheless, the Defendant, without registering a financial investment business as a business on October 14, 2010, operated financial investment instruments to be entrusted with investment judgment in full from D by acquiring and disposing of options from October 14, 2010 to April 24, 2012 by obtaining a ID and password from D with regard to Samsung Securities CMA accounts and futures/observer accounts.

2. The Defendant did not register the financial investment business from April 28, 2010 to January 24, 2011, but invested KRW 500,000,000,000, which was issued from the victim E, with a ID and password for Samsung Securities CMA accounts and futures/observer accounts, on 94 occasions, by acquiring and disposing of options products independently from the victim, and thereby, operated the financial investment instruments with discretionary discretion from the victim.

On February 14, 2013, "" was sentenced to a suspended sentence of two years for a violation of the Financial Investment Services and Capital Markets Act by the Daegu District Court on the crime, and the said judgment became final and conclusive on August 22, 2013.

The facts charged by the above judgment and the facts charged by the court prior to the pronouncement of the judgment are all registered and run a discretionary investment business.

arrow