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논문 기본 정보

자료유형
학술저널
저자정보
저널정보
중앙법학회 중앙법학 중앙법학 제9집 제3호
발행연도
2007.10
수록면
537 - 570 (34page)

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초록· 키워드

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Confidence of the market participants is crucial to the survival of financia1 institutions. Without it these institutions are bound to go bankrupt and threaten the stability of the whole financia1 system. The ultimate purpose of any disciplinary action taken by regulators is to build market confidence. Disciplinary action taken by regulators wins trust from market only if its efficacy is proven. The fundamenta1 problem that exists with the current law regulating financia1 institutions in Korea is that the regulators have limited means of disciplinary sanction. According to the law, disciplinary sanction is to take place mainly in the form of professional sanction. Monetary sanction, on the other hand, is limited both in its scope and imposition. In rare cases in which monetary sanction is imposed, its weak lega1 grounds and lack of ac curacy in application are evident. Although the law makes a clear distinction between financial penalty and a fine, these monetary sanctions are often inaccurate1y imposed leading to some case s that should result in financial pena1ties resulting in a fine instead. Lack of legal grounds for imposing a fine further aggravate the problem. De spite the fact that financial penalty is an important form of monetary sanction against finaneia1 institutions that fail to comp1y with the law, cases that are to result in financial pena1ty is limited to only certain types of misconduct. Moreover, no legal grounds are provided for imposing financia1 penalties on individua1 employees of financial institutions. Su h 1imitations and inadequacies within the legal system add to the difficulty involved in imposing financia1 penalty in disciplinary matters. Likewise, the 1egal ground for imposing a fine is so weak and inconsistent that similar cases of misconduct may or may not result in a fine depending on the finaneia1 sector involved. Under such circumstances, financial institutions may be tempted to violate the law in cases where the benefits that are expected to result from the violation is greater that the cost associated with professiona1 sanction. The signa1 regulators want to send to the market through disciplinary sanction, in turn, is undermined and may ultimately fail to respond to the confusion of the financial market. Countries with developed financia1 markets, name1y the United States and the United Kingdom, have various regulations that provide lega1 grounds for imposing monetary sanctions such as civil money penalty and financial penalty. These countries take appropriate supervisory measures to remedy misconduct of financia1 institutions and their employees. Among the types of sanctions, regulators often impose monetary sanction or the combination of both monetary and professional sanction and rare1y impose professional sanction alone. In an attempt to change disciplinary action that is 1arge1y characterized by professional sanction, regulators in Korea have proceeded to imposition of monetary sanctions. In fact, over the years, cases that resulted in monetary sanctions have increased in Korea. The legal system, however, does not reflect such changes and may conflict with Korea`s aspiration to build a developed financia1 market that serves as the North East Finaneia1 Hub of the region. In the short run, a comprehensive review and improvement of the current disciplinary action regarding monetary sanction is required. In the Medium run, by adopting the U.S. or the U.K. system of imposing civil money pena1ty and financia1 penalty to employee s of financia1 institutions, Korean regulators must build a disciplinary regime that meets the globa1 standard. Lastly, a policy shift from a professional to monetary sanction should follow thereby promoting further financia1 development.
#과징금 #금융제재 #금융회사 #금전상 제재 #신분상 제재 #Disciplinary action taken by regulators #Financial institutions #Financial Penalty #Monetary sanction #Professional sanction

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