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(영문) 서울북부지방법원 2016.10.12 2016고단2420
자본시장과금융투자업에관한법률위반
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A defendant shall be punished by imprisonment for one year.

However, 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 run a discretionary investment business without registering the financial investment business under the Financial Investment Services and Capital Markets Act.

around May 28, 2014, the Defendant: (a) stated that “If an investment is made with private equity funds (SP 1), management period from May 29, 2014 to May 29, 2015; (b) the monthly amount of 3.3% will be paid as interest payment at the end of each month; (c) received KRW 30 million from C, around May 30, 2014; (d) received KRW 50 million from KRW 14 billion to KRW 500,000,000,000 from around July 29, 2015; and (e) received KRW 104 billion from around 200,000,000 to KRW 104,50,000,000,000 from KRW 305,000,000,000 from KRW 304,00,000; and (e) received KRW 194,2014.2.

Summary of Evidence

1. Partial statement of the defendant;

1. Each police statement of C;

1. A complaint (including attachment);

1. Application of the Acts and subordinate statutes for investigation reporting;

1. Article 45 Subparag. 1 and Article 17 of the former Financial Investment Services and Capital Markets Act (Amended by Act No. 14130, Mar. 29, 2016) applicable to the relevant criminal facts and Articles 445 Subparag. 1 and 17 of the former Financial Investment Services and Capital Markets Act (Amended by

1. Article 62 (1) of the Criminal Act;

1. Social service businesses under Article 62-2 of the Criminal Act;

1. Grounds for sentencing under Article 186 of the Criminal Procedure Act (300,000 won of the basic remuneration of a state appointed defense counsel): Imprisonment with prison labor for a year: One-year sentence of imprisonment with prison labor; two-year suspension of execution of imprisonment; a person who provides community service 200 hours: requires serious reflectivity; and a person who commits a crime while in office at a financial company;

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