[ad_1]
In the case of Samsung Securities' dividend error in April, six months of partial suspension of operations and three months of suspension of representative rights were finalized.
The Financial Supervisory Commission (FSC) voted on the sanctions at the annual meeting of July 26, stating: "Samsung Securities violated the obligation to prepare internal control standards, obligations to prepare risk management plans,.
This is similar to the sanctions that the FSS proposed by opening a sanctions review committee last month.
As a result, it was decided to impose a suspension of six months and a penalty of 144 million won for the opening of new trading accounts and so on. Because of this measure, Samsung Securities has not been able to start a new business for two years.
In addition, the recommendation to revoke four former and current directors and the suspension of office were also approved.
The former Hwang Hoon-hyun was suspended for three months, and Yoon Yong-mam and Kim Seok-eun were put on the dismissal recommendation. Kim Nam-soo, vice president of Samsung Life Insurance, was suspended for a month.
According to this decision, Yun Yong-Am and Kim Seok will limit the hiring of financial business executives for the next five years. The suspension is four years.
The Financial Supervisory Commission (FSC) has decided to seek honesty, retirement and reprimands to the other eight employees through the Financial Supervisory Service.
The 21 employees involved in the sale of shares have already been sanctioned by the Financial Supervisory Service (FSS), including litigation costs and disciplinary action by Samsung Securities.
Twenty-one employees of the company raised concerns about "stockpiling" in the stock market by selling or selling large stocks that were ill-advised on April 6.
The Financial Supervisory Commission also decided at the regular meeting to review the eligibility of major shareholders of J & W Partners, a private equity fund management company, SK Securities. As a result, the sale of SK Securities, which began last June when SK Corp. pursued an open sale, overtook the market.
┌─────────────────────────────────────────────────── [────────────────────────── ──────────────────── │Articles of Sanctions │Introduction Content │Intelligence │ ├─────┼──────────────────── │ Institution │ ㅇ Part of the work [신규 투자자에 대한 지분증권 투자중│금융위원회│ │ │개업] Suspension June │ │ │ │ ㅇ Fines imposed (144 million won) │ │ ├───────────────────────────────────────────────── ──────────────────────────────────────────── │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ │ (4 people) ㅇ ㅇ Illegal for retirees and unfair issues (equivalent to January suspension) 1 person │ │ │ │ ㅇ Suspension of employment (March) 1 person │ │ ├─────┼──────────────────── │ Honesty (March) 2 people, Honesty (February) 1 │ Finance │ │ (21 people) │ ㅇ 3 staff │ Governor │ │ │ ㅇ 1 reprimand │ │ ㅇ │ ㅇ Notice of Misconduct in Retirement (Note) 1 person │ │ │ ├────────────────────────────────────────────── │ │ ㅇ 13 penalties (30 million won, 6 people, 22.5 million won 7 people) │ Securities Futures │ │ │ │ Committee └─────────────────────────────
[email protected]
(Seoul = Yonhap News)
Source link
