Optimus cannot conclude the first sanctions trial… Additional deliberation on the 4th of next month
(Seoul = Yonhap News) Reporter Lim Soo-jeong = Vendor NH Investment & Securities in connection with the Optimus Fund crisis on the 29th[005940]The first sanction review committee was held for Hana Bank and its trustee, but it was not possible to reach a conclusion.
Since the FSS has notified NH Investment & Securities CEO Chung Young-chae of severe disciplinary action, such as a’three-month suspension of work’, it is noteworthy whether the level of sanctions will remain as it is or will be lowered during the review process.
The Financial Supervisory Service held a sanctions trial at 2:30 pm that day to deliberate on the level of disciplinary action by NH Investment & Securities and Hana Bank.
The Financial Supervisory Service said, “We listened to the statements and explanations of many officials from the sales company and the FSS inspection bureau,” and “we decided to hold a meeting again on the 4th of next month.”
NH Investment & Securities, the largest seller of Optimus Fund, has been subject to sanctions for lack of internal control and not fulfilling its responsibilities.
In particular, CEO Jeong, who was notified of the three-month suspension of work in advance, attended the sanctions trial and made an active call.
It is known that not only Jung’s individual but also institutional sanctions against NH Investment & Securities were notified of severe disciplinary measures.
Sanctions against financial companies are divided into five stages, such as’registration/authorization cancellation-business suspension-corrective order-institutional warning-institutionalism’.
Hana Bank, a trustee of the Optimus Fund, is also known to have received prior notice of severe disciplinary measures such as’institutional warning’.
The fact that voices from both inside and outside the financial sector that they are holding excessive responsibility only on the CEO of a seller in relation to the insolvency of private equity can act as a variable for sanctions.
Financial Supervisory Commissioner Yoon Seok-heon attended the plenary meeting of the National Assembly’s Political Affairs Committee on the 17th and replied, “In the case of companies that strived to protect consumers, we are working hard to reflect the reduction in the case of companies that strived to protect consumers.” .
However, as the Financial Supervisory Service previously decided on severe disciplinary action for the majority of CEOs of Lime-selling securities companies for lack of internal control, some observers say that it is difficult to lower the level of disciplinary action in this Optimus outbreak.
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