Defendant shall be punished by a fine of KRW 30,000,000.

If the defendant does not pay the above fine, 50,000 won.

Punishment of the crime

The Financial Services Commission shall obtain authorization from the Financial Services Commission to engage in financial investment business, such as brokerage of exchange-traded derivatives.

Nevertheless, the Defendant appears to have written “ around April 9, 201,” written indictment on April 9, 201, as stated “ around April 201,” in the indictment.

From around December 201 to around December 201, a private futures market site was established in the name of “E” without obtaining authorization from the Financial Services Commission, and the Defendant run an investment brokerage business, which is a financial investment business, in order to increase profits of KRW 800 to KRW 10 million each month by collecting fees from members of “F”, a private futures trading site, and members recruited by using Internet e-mail, which is operated by the Defendant from February 201, and by using the HTS program provided at the said futures trading site.

Summary of Evidence

On April 8, 2011, the Defendant issued a summary order of KRW 3 million on the grounds that he/she operated “F” in the same manner as indicated in the judgment, and on June 10, 201, the summary order became final and conclusive. The facts charged in the instant case deals with the operation of “E” from April 9, 2011, which is the day following the issuance date of the said summary order, and the Defendant and his/her defense counsel’s assertion that it violates the principle of res judicata is without merit without further review.

1. Partial statement of the defendant;

1. A protocol of partial police interrogation of the accused;

1. An interrogation protocol of the police officer in G (including the substitute part);

1. The police statement of H;

1. Application of Acts and subordinate statutes to records of recording, each application for trading, business registration certificate, and details of transactions of each passbook;

1. Relevant Article 44 of the Financial Investment Services and Capital Markets Act and Articles 444 subparagraph 1 and 11 of the same Act concerning facts constituting an offense, and selection of fines;

1. Articles 70 (1) and 69 (2) of the Criminal Act for the detention of a workhouse;

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