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논문 기본 정보

자료유형
학술저널
저자정보
저널정보
한국경영법률학회 경영법률 경영법률 제25권 제3호
발행연도
2015.1
수록면
73 - 116 (44page)

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The Securities and Futures Commission of Korea decided on 3 December 2014 to file a complaint against Gamevil Inc. with the Prosecutor's Office. One may consider the decision reasonable; however, the author finds that a close look at Article 174 of the Financial Investment Services and Capital Markets Act of 2009 (Capital Markets Act) suggests that multiple different interpretations of its key provisions are quite possible, foretelling fierce legal battles on both sides of the issue. The article’s Provision (1) and Provision (2), which respectively hold legally responsible anyone who uses any material nonpublic information or nonpublic information on initiation or ending of a takeover bid in trading or any other transaction involving specific securities, etc. and anyone who discloses such information to and thus allows another person to use such information, demand well informed recognition and high levels of keenness on both sides of such cases. From this perspective, the author suggests that the scope of the regulation intended by the Capital Markets Act is too narrow and questions whether the CFO and IR head of Gamevil who disclosed the related information to others should be held legally responsible. Having experienced similar cases, Japan revised its Financial Instru- ments and Exchange Law in 2013 and extended the scope of insider trading to include both disclosure of information related to capital increase by public offering and solicitation of trading based on such information. The reasons for Japan taking this approach are as follows: 1. An analysis of prosecution cases involving recommendation for monetary penalty reveals that the number of violations by the recipients (tipees) of nonpublic information from either company insiders or those involved in public offerings has steadily increased over the years and even inappropriate disclosure of information related to capital increases by public offering by the sales representatives of underwriters has occurred frequently. 2. Agreeing that without such information sharing it would be impossible for any insider trading by the tipees to occur, the country’s lawmakers are convinced that prohibiting insiders from sharing insider information with others is essential for the prevention of insider trading. Through these measures to extend the scope of insider trading regulation, Japan expects to root out insider trading from its financial markets. In addition, Japan had adopted the policy that in case any actual insider trading occurs based on such insider information, it shall be criminally prosecuted. There is no doubt that all these efforts are intended to restore public trust in the country’s financial markets. The author concludes that it is time for Korean policymakers to consider seriously the adoption of this rather strict Japanese policy (at least partially), if they recognize that insider trading has harmful effects on Korea’s financial markets.
#공개매수 #교사 #과징금 #성명공개제도 #자산운용업자 #정보수령자 #정보전달자 #펀드매니저 #take over bid #abetting #monetary penalty #system of offenders name publication #asset management firm #tippee #tipper #fund manager

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/ 2010 / 金融商品取引法における課?金事例集 / ?券取引等監視委員?事務局 google schola / 2013 / 情報?達取引推?規制に?するQ&A / 金融? google schola / 2014 / 자본시장 불공정거래에 대한 조사결과 조치 / 금융위원회 보도자료 google schola ??裕介 / 1989 / 逐?解? インサイダ?取引規制と罰則 / 商事法務?究? google schola ?山淳 / 2013 / ?券金融取引の法制度 / 大和?券 google schola

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