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Defendant
A Imprisonment for 8 months, Defendant B's imprisonment for 6 months, and Defendant C's fine for 20,000,000.
Reasons
Criminal facts
Defendant
A Employees of D Co., Ltd, which engages in financial product placement and consulting business without obtaining authorization from the Financial Services Commission, and Defendant B, the representative of Defendant C Co., Ltd who engages in derivatives investment consulting business without obtaining authorization from the Financial Services Commission, and Defendant C Co., Ltd is a corporation established for the purpose of investment consulting, etc. of derivatives.
Defendant
A introduced Defendant B to E (50 years of age, women) and solicited investment in a way that guarantees the principal and certain profits through a company operated by Defendant B, and Defendant B entered into a contract with Defendant B to make profits by using money in the name of the account in the name of E.
1. Defendant A: (a) without obtaining authorization from the Financial Services Commission; (b) around November 18, 2014, at “H level E of the former F Building Building Building G during Ansan-si; and (c) “B shall guarantee the principal amount of 2.5 million won and annual income equivalent to 8.4% per annum if it is possible to guarantee the principal through rms (risk management system); (c) prepare a delegation contract for the selection of risk management and operator; (d) continuously, around April 23, 2015, the content of the contract was changed to guarantee the principal amount of 50 million won and annual income amount of 9.6%; and (e) Defendant B may freely operate 70 million won and Defendant B received 30% distribution contracts; and (e) enter into a financial investment agreement with the Financial Investment Services and Capital Management Association from around 2015 to around 2015, as the content was changed to guarantee the principal amount of 50 million won and annual income amount of 9.6%.
2. Defendant B, without being registered with the Financial Services Commission, prepares an “a delegation contract for the selection of risk management and operator” with E, such as the foregoing paragraph 1, and entirely operates funds, and enters into an investment contract with J, K, L, M, etc. from around that time to December 2, 2015, and is entrusted with investment in money.