Defendant shall be punished by a fine of KRW 5,000,000.

When the defendant does not pay the above fine, 100,000 won.

Punishment of the crime

The defendant is a representative of T in the Southern-gu Incheon S 10th, and B is an employee of the above company.

No one shall engage in investment advisory business or investment-free forestry without being registered as a financial investment business with the Financial Supervisory Service.

Nevertheless, the Defendant, in collusion with B on November 26, 2014, recruited investors through the rice Luxembourg market, etc., which is an information site for living in the above company office, and reported this to the Defendant, received 300,000 won as education expenses related to futures option investment, 300,000 won as a deposit deposit, from U.S. and provided advice on investment in futures options, and conducted investment advisory services and investment-related forestry without being registered with the financial authority, such as accepting investment in a part of the amount from a trust, and making use of a futures option transaction.

Summary of Evidence

1. Statement by the defendant in court;

1. A protocol concerning the examination of suspects by the prosecution concerning V;

1. A protocol concerning examination of partially the police in relation to B;

1. Statement made by the police against U;

1. Details of financial transactions in V names;

1. Application of Acts and subordinate statutes to office photographs and written applications for membership;

1. Article 445 Subparag. 1 and Article 17 of the former Financial Investment Services and Capital Markets Act (amended by Act No. 13448, Jul. 24, 2015); Article 30 of the Criminal Act; selection of fines and fines for criminal facts;

1. Article 70(1) and Article 69(2) of the Criminal Act to attract a workhouse;

1. Article 334 (1) of the Criminal Procedure Act concerning the order of provisional payment;