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The Financial Supervision Service held the ‘6th Sanctions Deliberation Committee’ at 2:30 p.m. the same day and deliberated on the measures taken by NH Investment & Securities, which sold most of the Optimus funds, and Hana Bank, who was in charge of the trustee. banking business.
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| [서울=뉴스핌] Reporter Yoon Chang-bin = Seoul Yeouido Financial Supervision Service 2020.05.11 [email protected] |
The Financial Supervision Service conducted a deliberation while listening to statements and explanations from the Financial Investment Inspection Office of the Financial Supervision Service and various company officials, including the legal representative of NH Investment & Securities and Hana Bank. However, it was decided to continue the meeting on March 4 without reaching a final conclusion that day.
Earlier, it was reported that the Financial Supervision Service notified NH Investment & Securities CEO Chung Young-chae of severe punishment for “three months” of suspension from work. Re-employment in the financial sector will be restricted for the next four years if the suspension disciplinary action is confirmed to CEO Jung as prior notice. The level of sanctions is divided into five stages: ‘Caution-Cautionary warning-Reprimand warning-Suspension of work-Recommendation for dismissal’.
It is known that not only Chung, but also a severe disciplinary bill has been denounced for institutional sanctions against NH Investment & Securities. Sanctions against financial companies are divided into five stages, such as ‘registration / cancellation of authorization-business suspension-corrective order-institutional warning-institutionalism’, from institutional warning to severe disciplinary action. Hana Bank, trustee of the Optimus Fund, is also known to have received prior notice of serious disciplinary action, such as an “institutional warning.”
In the day’s sanctions trial, it emerged that there was a battle over whether NH Investment & Securities sold the Optimus Fund for “lack of internal control.” Previously, the Financial Supervision Service decided on a severe disciplinary action that restricts re-employment in the financial sector even for the majority of the CEOs of securities companies that sell lime due to a lack of internal control.
However, regarding the sale of the Optimus fund, NH Investment & Securities stated that it was a victim of the scam that Optimus decided to commit. He also argued that you should be aware that you have actively embarked on restoring Optimus Fund victims and directly filed an indictment to avoid further victims.
Earlier, the head of FSS, Yoon Seok-heon, said at the plenary meeting of the National Assembly Political Committee on the 17th that, in relation to the sanctions on the CEO of the Lime Fund sales companies, “we are trying to reflect the reduction in downsizing of companies that have tried to protect consumers. “
