![[서울신문] Financial Supervisory Service, NH Investment & Hana Bank’Optimus’ first sanctions’empty hand’](https://img.seoul.co.kr/img/upload/2021/02/19/SSI_20210219205139.jpg "[서울신문] Financial Supervisory Service, NH Investment & Hana Bank’Optimus’ first sanctions’empty hand’")
Chung Young-chae, CEO of NH Donation, called for direct attendance
Resumption on the 4th of next month… Disciplinary level interest
The first sanction review committee of the Financial Supervisory Service against NH Investment & Securities and Hana Bank ended empty-handed in relation to the Optimus Fund crisis. The Financial Supervisory Service is scheduled to hold the second sanctions review meeting on the 4th of next month. In the process of further deliberation, attention is focused on whether the level of disciplinary action notified to financial companies in advance can be lowered.
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▲ Financial Supervisory Commissioner Yoon Seok-heon answers inquiries at the general meeting of the Political Affairs Committee held at the National Assembly on the 17th.
yunhap news
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The Financial Supervisory Service announced on the 19th that it has proposed and deliberated on measures as a result of inspections on NH Investment & Securities, a major seller of the Optimus Fund, and Hana Bank, a trustee. On this day, the sanctions trial began at 2:30 pm and ended after 8 pm.
The Financial Supervisory Service said, “The members of the sanctions deliberation proceeded while listening sufficiently to the statements and explanations of a number of company officials and the inspection bureau.”
It is known that during the sanctions trial on the day, Chung Young-chae, CEO of NH Investment & Securities, participated in person and made an active call.
Previously, NH Investment & Securities, the largest seller of Optimus Fund, was subject to sanctions for lack of internal control and not fulfilling its responsibilities. According to an announcement by the Financial Supervisory Service, NH Investment & Securities’ Optimus Fund sales amounted to 432.7 billion won, accounting for 84% of the total redemption suspension.
Last month, the Financial Supervisory Service notified NH Investment & Securities CEO Chung Young-chae of a three-month job suspension sanction, and NH Investment & Securities and Hana Bank were also notified of institutional warnings that are severe disciplinary actions. However, only the employees in charge of the Optimus Fund were notified of the sanctions, but Hana Bank President Ji Sung-gyu was excluded from the sanctions.
As the sanctions for job suspension received by CEO Jeong are severe disciplinary actions that limit employment in the financial sector for 3 to 5 years, it is imperative to lower the level of disciplinary action during the sanctions review process. Unlike other private equity cases, NH Investment & Securities claims that no executives and employees have been directly involved in fraud so far, and the management was also belatedly aware of the facts, and the first to accuse Optimus of crimes to the prosecution.
However, as the Financial Supervisory Service previously decided to punish the majority of CEOs of securities companies selling lime funds, it is observed that the level of disciplinary action will not be lowered in relation to the Optimus incident.
Meanwhile, FSS Chief Yoon Seok-heon attended the plenary meeting of the National Assembly’s Political Affairs Committee on the 17th and replied, “In the case of companies that have tried to protect consumers, we are working hard to reflect the reduction in the case of companies that strived to protect consumers.” .
Reporter Kim Hee-ri [email protected]
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