A violation of the Act on the Aggravated Punishment, etc. of Specific Economic Crimes (Aggravated Punishment, etc. on the Aggravated Punishment, etc. of Specific Economic Crimes)

1. Staff members of the GangwonO or the Financial Supervisory Service;

2. Employees of an invoice or the Financial Supervisory Service;

Chang-Jin Park

Attorney Gangwon-gu

February 4, 2009

Defendant 1 shall be punished by imprisonment with prison labor for eight months and by imprisonment for six months, respectively. 48 days in the detention days before the sentence of this judgment is made shall be included in the calculation of Defendant 1, and 45 days in the calculation of the above punishment against Defendant 2.

A set of golf products seized shall be confiscated from Defendant 2 (Nos. 1). KRW 20,800,000 from Defendant 1, and KRW 17,000,000 from Defendant 2 shall be collected respectively.

Criminal facts

From January 1, 1994, Defendant 1 served as a public bond of Grade V with the Financial Supervisory Service. From August 2005 to August 2008, Defendant 1 was dispatched to the office of secretary of secretary of secretary of secretary of secretary of secretary of secretary of Prime Minister, and up to now, Defendant 2 served as a chief investigator at the first team of investigation of the capital market headquarters and the first team of investigation of the capital market headquarters. Defendant 2 was employed as a class V employee of the Financial Supervisory Service on January 1, 1999 and currently served as a senior investigator at the asset-backed securitization team of the company.

1. Defendant 1

A. Defendant 1 was dispatched to the office of a certified judicial scrivener in the office of the Prime Minister’s secretary, who belongs to the office of the Prime Minister. On January 208, 2008, at the office of a certified judicial scrivener with usual friendship in Seoul, Gangnam-gu, Seoul, B and C that operates a lending company, and from E and F that operates a company listed in KOSDAQ-listed through the order above A through E and E that operated a company listed in KOSDAQ-listed through the order above A, and then raised approximately KRW 16.7 billion in a short period of time after acquiring D on October 1, 2007. However, in order to solve the financial shortage, Defendant 1 was already planned to allocate a shareholder of KRW 19.5 billion again to resolve the financial shortage. If capital increase was already made twice or more, the Financial Supervisory Service received securities report from the manager of the Financial Supervisory Service, and received securities registration statement as an intermediary and delivery of KRW 200,000,000.

Accordingly, in collusion with the above B, C, and A, Defendant 1 received money and valuables in relation to the intermediation of matters belonging to the duties of officers and employees of the Financial Supervisory Service who are financial institutions.

B. Defendant 1, at the above certified judicial scrivener office around April 2008, was to issue new convertible bonds of 15 billion won continuously through the above E, C, and B, and F, which had been under continuous pressure despite having received a total amount of money equivalent to KRW 29.4 billion by issuing new convertible bonds for capital increase and issuance of convertible bonds for 4 times up to 29.4 billion. At the same time, Defendant 1 received KRW 20 million upon request from the person in charge of the disclosure of the Financial Supervisory Service to the effect that the securities registration statement can be accepted well, and received KRW 20,000,000 under the pretext of mediation, etc.

Accordingly, in collusion with the above B, C, and A, Defendant 1 received money and valuables in relation to the intermediation of matters belonging to the duties of officers and employees of the Financial Supervisory Service who are financial institutions.

2. Defendant 2

A. On January 1, 2008, Defendant 2: (a) purchased D Co., Ltd. from E and F, a KOSDAQ-listed corporation, on two occasions or more occasions in a short period on October 1, 2007; (b) planned to allocate the amount of KRW 16.7 billion, but (c) planned to increase the amount of KRW 19.5 billion again in order to resolve the shortage of funds; and (d) received a request from the public official in charge of disclosure to the public official in charge of disclosure so that the securities registration statement can be easily passed through the reduction of funds at the request of the public official in charge of disclosure so that it can be easily passed through the reduction of funds; and (e) Defendant 1, etc., who was dispatched to the office of secretary of the Prime Minister.

As a result, Defendant 2 conspiredd with the above B, C, A, and Defendant 1 to receive money and valuables in order to arrange matters belonging to the duties of executive officers and employees of the Financial Supervisory Service, a financial institution.

B. Defendant 2, around April 2008 to May 5, 2008, issued new shares increase bonds and convertible bonds for 4 times up to the time, and had been raised with a total amount of 29.4 billion won, then Defendant 2 was expected to re-issue convertible bonds of 15 billion won from “stock company D” through the order of the above E and F, which had been directed to the continued financial pressure despite having been raising funds equivalent to the total amount of KRW 29.4 billion. At this time, Defendant 2 received KRW 10 million in total on two occasions under the pretext of the arrangement, with the request of the public official in charge of disclosure to the effect that the registration statement can be re-issued.

As a result, Defendant 2 conspiredd with the above B, C, A, and Defendant 1 to receive money and valuables in order to arrange matters belonging to the duties of executive officers and employees of the Financial Supervisory Service, a financial institution.

Summary of Evidence

1. Defendants’ respective legal statements

1. Defendants B. Each protocol of suspect examination against the prosecution and copy of the self-examination protocol against the prosecution.

1. A copy of the prosecutor's statement concerning the F;

1. Records of seizure and the list of seizure;

1. Each investigation report (the report on the separation of records in the case relating to the route of the Financial Supervisory Service -1, the separation and reporting of records in the case relating to the route of the Financial Supervisory Service and the records, the report on the recording of the statement by the head of the team of the team of the team of the Dok-un Kimun, Kim Jong-un, the DD branch office, on the preparation and submission of the securities registration statement, the confirmation of non-related currency records between C and 1, the confirmation of the personal information between C and 2 of internal investigation, the confirmation of the positions and positions of internal investigation officers within the Financial Supervisory Service of 2 of internal investigation, the confirmation of the currency records between the internal investigation officers and 1 and 2 of the internal investigation officers, the attachment of a golf loan photograph

1. A statement of telephone, a guide to the department of the Financial Supervisory Service, a copy of the Abook stating one telephone number, and a request for cooperation in investigation (request for delivery of personnel record cards, etc.) and replys;

Application of Statutes

1. Article relevant to the facts constituting an offense and the selection of punishment;

Article 7 of the Act on the Aggravated Punishment, etc. of Specific Economic Crimes

1. Aggravation for concurrent crimes;

Article 37 (former part of Article 37, Article 38 (1) 2 and Article 50 (Article 1-2 (b) of the Criminal Code) of the Criminal Code, Article 38 (1) 2 of the Act on the Aggravated Punishment, etc. of Specific Economic Crimes (Article 38 (1) of the Criminal Code)

1. Inclusion of days of detention in detention;

Article 57 of the Criminal Code

1. Article 10 (2) of the Act on the Aggravated Punishment, etc. of Specific Economic Crimes (Defendant 2);

1. Additional collection:

각 특정경제범죄 가중처벌 등에 관한 법률 제10조 제3항, 제2항 양형의 이유 이 사건 범행은. 피고인들이 LCD 제조업체인 주식회사 D의 유상증자 및 전환사채 발행과 관련하여 금융감독원 공시 담당 책임자를 통해 유가증권신고서가 잘 수리될 수 있도록 해달라는 취지의 부탁을 받으면서 그 알선교제비 등 명목으로 금품을 수수하였다는 것인바, 피고인들의 위 범행으로 금융감독원 임·직원의 직무집행의 공정성에 대한 일반의 신뢰가 훼손되고, 나아가 건전한 경제질서를 해할 우려가 매우 큰 점, 피고인들은 금융기관에 대한 검사 · 감독업무 등을 수행하는 금융감독원의 직원들로서 직무수행과 관련하여 공정성 · 투명성이 강하게 요구됨에도 알선 명목으로 금품을 수수한 것은 그 죄질이 매우 좋지 않은 점, F, E은 2007. 10.경 D를 인수하여 1년도 되지 않은 단기간에 6회의 유상증자 내지 전환사채 발행으로 합계 약 500억 원 정도의 자금 (상당액의 사채 포함)을 조달하였는데, 당시 회사의 자금사정이 매우 나빴음에도 유가증권신고서가 무난히 통과됨으로써 이를 믿고 투자한 선의의 일반투자자들이 상당한 피해를 입었을 것으로 보이는 점, 피고인 2는 D의 유가증권신고서를 사전에 검토 하여 수정 보완할 사항을 지적해주는 등 유가증권신고서가 통과될 수 있도록 실제로 도와주기까지 한 점, 피고인들이 알선 명목으로 실제 취득한 금품의 액수가 적지 아니한 점 등을 종합하면, 피고인들에 대하여는 그 행위에 상응하는 엄중한 처벌이 불가피하다.

However, all of the money received by Defendant 1 is deposited, the Defendants are divided into the first offense in depth, and they are contradictory to the fact that all the Defendants work in good faith as an employee of the Financial Supervisory Service for a considerable period of time, and the Defendants’ age, character and conduct, intelligence and environment, motive, means and consequence of the crime, and all other circumstances constituting the conditions for sentencing, such as the circumstances after the crime, shall be determined as ordered.

The presiding judge and the judge in order;

Judges Ethroop

The highest judge shall be appointed