Hanwha Securities, improper use of undisclosed information ... Institutional care, penalty sanctions

Imposed a discipline such as [South Korea goyounghun financial newspaper reporter] financial authorities, institutional attention to the fine Hanwha Securities using undisclosed information.

According to the 10th financial investment industry, the FSS marketing investment against the trader or investment brokers and retail investors made their affiliates for Hanwha Securities was recommending the sale of subordinated bonds issued by the Authority precautionary measures and penalties sanctions. Dwaeteumyeo company has imposed fines of institutional care and 3750 100,010,000 won for the executive horsemen in fact illegal retired notice and attention.

Prior Hanwha Investment & A department is a period of subordinated debt 5.857 billion won and its affiliate companies have issued one from February 2015 to April 2016 urged for sale to the general investors in 32 points. This is a violation of such Article 71 FSCMA seventh, FSCMA Decree of claim 68 wherein the fifth 14th.

In addition, Hanwha Securities had used non-public information to the outside without any justifiable reason.

Hanwha Investment & B department has participated as buyers for the 10 stocks received a large amount of overtime sale sell orders from investors through financial and other Investment Manager during the period from January 2014 to May 2015 year. However, in such a way that the borrowing short selling before signing bulk transactions using official information obtained was not disclosed to external sanctions this time reap the gains of a total of 333 million won.

FSS official explained that "the financial investment business entity shall determine the possibility to avoid conflicts of interest and engage in financial investment industry and attention."



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