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(영문) 서울남부지방법원 2015.11.10 2015고단1530
자본시장과금융투자업에관한법률위반
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Defendant shall be punished by a fine of KRW 50 million.

If the defendant does not pay the above fine, 20,000 won.

Reasons

Punishment of the crime

Every person who intends to run financial investment business shall select all or part of its business units with the elements of the financial investment business, including the type of the financial investment business, the scope of the financial investment instruments, and the types of investors, and shall obtain authorization from

On April 2009, the Defendant was requested to sell to others the shares of the PEP company (Preie Earpines, Inc.) of the Republic of Korea that he/she was holding by E while working as the representative director of corporation D for public relations agency in the 9th floor of Seoul Special Metropolitan City, Gwanak-gu.

Therefore, the Defendant did not obtain a financial investment business license, but did not receive a certain fee from E. From May 2009 to May 31, 2009, the Defendant sold 1.3 million shares of the PEP company owned by E to F and received 85,800,000 won in total from 34 investors, such as the list of crimes in the attached Table, and sold 13,075,000 shares of the PEP company to 862,950,000 won in total.

Accordingly, the Defendant run an investment brokerage business without obtaining an authorization from the Financial Services Commission.

Summary of Evidence

1. Defendant's legal statement;

1. Prosecutions and police interrogation protocol of the accused (including F statements);

1. The police statement concerning F;

1. Copy of each police interrogation protocol of E and G;

1. The application of Acts and subordinate statutes to a complaint, investment proposal, proposal for stock investment, a pledge of stock refund, a statement of deposit payment, data on stocks in the Philippines PEP, a certificate of partial registration of stocks, a certificate of stock exchange, a sales contract, a contract for stock sales, a statement of deposit, and a report on investigation (verification

1. Article 44 Subparag. 1 and Article 11 of the former Financial Investment Services and Capital Markets Act (amended by Act No. 11758, Apr. 5, 2013);

1. Selection of selective fine (the following circumstances shall be considered):

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