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[Apha Biz=(Chicago) Reporter Paul Lee] Over the past five years, executives and employees of securities firms have been caught in illegal stock trading exceeding 100 billion won, but only one has led to criminal charges, the report showed.
According to data submitted by the Financial Supervisory Service to Hwang Un-ha of the Democratic Party of Korea, a member of the National Assembly's National Policy Committee, on the 18th, executives and employees of securities companies illegally traded stocks in violation of the Capital Market Act from 2018 to the end of March this year The total number of people caught reached 107.
The amount of violation based on investment principal amounted to 105 billion won. However, this is the amount collected by only eight securities firms because Mirae Asset Securities and Meritz Securities did not submit the violation amount, and the number of cases caught by the two securities firms reached 54, so the actual amount of violation is expected to be larger.
The number of internal disciplinary measures for illegal stock transactions by executives and employees of each securities company includes 35 from Meritz Securities, 19 from Mirae Asset Securities, 18 from KB Securities, nine from NH Investment & Securities, seven from Daishin Securities, seven from Shinhan Investment & Securities, five from Samsung Securities, four from Hana Securities, two from Korea Investment & Securities and one from Kiwoom Securities.
by executives and employees of securities firms, except for Mirae Asset Securities and Meritz Securities, which did not submit the violated amount, was overwhelmingly high at 99.966 billion won, followed by KB Investment & Securities at 2.294 billion won, Shinhan Investment & Securities at 1.36 billion won, Korea Investment & Securities at 221 million won, Samsung Securities at 159 million won, Kiwoom Securities at 142 million won and Hana Securities at 100 million won.
Alphabiz Reporter Paul Lee(hoondork1977@alphabiz.co.kr)
