[서울=뉴스핌] Reporter Go-eun Lee = The Financial Supervisory Service commissioned the prosecution to investigate Lee Jin-guk, CEO of Hana Financial Investment, on charges of violating the Capital Market Act, such as pre-sale. This is the first time that an incumbent CEO of a large securities company with equity capital of 4 trillion won or more has been targeted for an investigation.
According to the financial authorities on the 2nd, the Financial Supervisory Service delivered a prosecutor’s opinion on the 29th of last month, including the illegal acts of Hana Geumtu CEO Lee Jin-guk. The Financial Supervisory Service caught Lee’s suspicion of pre-sale in the course of a sector inspection in December of the same year as the general inspection in October last year.
| [서울=뉴스핌] Reporter Seongsu Kim = Yeouido Hana Financial Investment Building [사진=코람코자산신탁] 2020.11.04 [email protected] |
According to Article 54 of the Capital Markets Act, executives and employees of financial investment companies should not use information that they have learned on the job or information that has not been disclosed to the outside for the benefit of themselves or a third party without justifiable reasons. A representative case of advance trade is that the researcher (analyst) previews the report (report) whose contents are confirmed, and then buys the corresponding corporate stock and sells it 24 hours after the announcement.
In the process of investigating Manager A, who was CEO Lee’s secretary, the Financial Supervisory Service confirmed that the stock account opened in Hana Geumtu under the name of CEO Lee or Manager A placed large bets on small stocks on the KOSDAQ, where the trading volume is not large. Since this is difficult to see as a general investment pattern, the FSS suspected that Lee had abused undisclosed inside information reported to securities companies.
Representative Lee replied, “It is a normal transaction that has not been filtered out in advance due to the current internal control system,” and “I will actively clarify on the allegations (priority trading).”
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