지원사업
학술연구/단체지원/교육 등 연구자 활동을 지속하도록 DBpia가 지원하고 있어요.
커뮤니티
연구자들이 자신의 연구와 전문성을 널리 알리고, 새로운 협력의 기회를 만들 수 있는 네트워킹 공간이에요.
초록· 키워드
오류제보하기
This article deals with legal characteristics of internal control system and liability of compliance officer in the securities industry.
In the Republic of Korea and the U.S., it is generally required that the board of directors should foster and maintain the proper and effective compliance program to prevent illegal business practice. The duty to monitor or supervise is the basic and principle for the directors.
There have been established procedures, the compliance program, in the securities industries of the United States. Supervisory personnel reasonably discharged the duty to monitor or supervisor established under the well-established compliance system in a corporation. The Securities Exchange Act Section 15(b)(4)(E) provides an affirmative defense from such liability where: (1) there have been established procedures, and a system for applying those procedures, which together reasonably could have been expected to detect and prevent violations of the federal securities laws; and (2) the person has reasonably discharged the duties and obligations established under the procedures and system without reasonable cause to believe that the procedures and system were not being followed.
Employees of brokerage firms who have legal or compliance responsibilities do not become supervisors solely because they occupy those positions. Given the role and influence within the firm of a person in a position such as the chief compliance officer, such a person is responsible for taking appropriate action to respond to the illegal business misconduct.
In the Republic of Korea and the U.S., it is generally required that the board of directors should foster and maintain the proper and effective compliance program to prevent illegal business practice. The duty to monitor or supervise is the basic and principle for the directors.
There have been established procedures, the compliance program, in the securities industries of the United States. Supervisory personnel reasonably discharged the duty to monitor or supervisor established under the well-established compliance system in a corporation. The Securities Exchange Act Section 15(b)(4)(E) provides an affirmative defense from such liability where: (1) there have been established procedures, and a system for applying those procedures, which together reasonably could have been expected to detect and prevent violations of the federal securities laws; and (2) the person has reasonably discharged the duties and obligations established under the procedures and system without reasonable cause to believe that the procedures and system were not being followed.
Employees of brokerage firms who have legal or compliance responsibilities do not become supervisors solely because they occupy those positions. Given the role and influence within the firm of a person in a position such as the chief compliance officer, such a person is responsible for taking appropriate action to respond to the illegal business misconduct.
목차
Ⅰ. 서론
Ⅱ. 증권거래법상 내부통제시스템
Ⅲ. 준법감시인제도의 법적 구조
Ⅳ. 준법감시(compliance)와 관련된 법적 책임
Ⅴ. 결론
참고문헌
〈Abstract〉
참고문헌 (0)
참고문헌 신청함께 읽어보면 좋을 논문
논문 유사도에 따라 DBpia 가 추천하는 논문입니다. 함께 보면 좋을 연관 논문을 확인해보세요!
-
내부통제와 준법감시제도
기업법연구
2009 .12
-
내부통제와 준법지원인제도
중앙법학
2011 .06
-
A Plan for Efficient Operation of Internal Control System in Korean Financial Institutions : Focus on Compliance Officer System
대한경영학회지
2015 .06
-
內部統制業務 關聯 遵法監視人의 地位
기업법연구
2008 .03
-
준법통제와 준법지원인에 대한 고찰
법학논총
2012 .01
-
A Plan for Efficient Operation of Internal Control System in Korean Financial Institutions : Focus on Compliance Officer System
대한경영학회 학술발표대회 발표논문집
2015 .04
-
준법지원인 제도에 관한 법적 고찰
경영법률
2012 .01
-
기업범죄예방을 위한 내부통제로서 준법지원인제도
비교형사법연구
2013 .01
-
遵法監視人과 遵法支援人의 統一 必要性
법학연구
2013 .09
-
상법상 준법지원제도의 과제 및 활용방안
법과정책
2013 .01
-
A Study on Compliance Officer System in Korean Financial Institutions
대한경영학회 학술발표대회 발표논문집
2014 .11
-
준법감시인제도의 정착방안에 관한 연구
전문경영인연구
2016 .01
-
대덕연구개발특구 내 기업의 발전 방안 - 합법성 공고화를 위한 준법통제시스템의 구상 -
법학연구
2019 .08
-
상장법인에 대한 내부통제와 준법지원인 제도의 도입타당성 고찰
법학연구
2009 .08
-
상법상 준법지원인제도의 문제와 해결
법학연구
2012 .11
-
개정 상법상 준법지원인 제도의 문제점과 그 개선방안
기업법연구
2011 .12
-
A Study on Compliance Officer System in Korean Financial Institutions
전문경영인연구
2014 .01
이 논문의 저자 정보
이 논문과 함께 이용한 논문
최근 본 자료
댓글(0)
0
UCI(KEPA) : I410-ECN-0101-2009-366-017616704