![[천지일보=남승우 기자] In the midst of the government's audit of the opposition parties over allegations of the Optimus investment lobby, the door of the Optimus Asset Management office in Gangnam-gu, Seoul, is firmly closed on the afternoon of the 13th. ⒸCheonji Ilbo 2020.10.13](https://i0.wp.com/cdn.newscj.com/news/photo/202103/newscj_천지일보_2021_3_4_112236_881300.jpg?w=560)
NH Investment & Securities·Hana Bank sanctions review
No additional corona 19 confirmed cases
[천지일보=김누리 기자] The Financial Supervisory Service will hold a second sanction review committee (sanction review) on NH Investment & Securities and Hana Bank on the afternoon of the 4th as scheduled in relation to the Optimus Asset Management Fund, which caused the sale of 500 billion won to stop repurchase.
As a new coronavirus infection (Corona 19) was confirmed at the Financial Supervisory Service on the 2nd, it became unclear whether a sanctions trial was held on this day. However, as a result of checking all of the contacts involved, the hospital operates normally and the sanctions trial schedule continues without any additional confirmed cases.
The sanctions hearing was additionally held as the first meeting held on the 19th of last month could not be concluded. Following the first round, NH Investment & Securities and Hana Bank executives and employees are expected to attend directly, and the inability to properly filter out insolvent funds is expected to become an issue.
Earlier, the Financial Supervisory Service notified NH Investment & Securities and Hana Bank of the disciplinary proposal. NH Investment & Securities president Jung Young-chae was notified of three months’ job suspension, NH Investment & Securities, the largest distributor, of severe disciplinary sanctions, and institutional warnings to Hana Bank, the trustee of Optimus Fund. Hana Bank President Ji Seong-gyu was excluded from disciplinary action.
The level of sanctions on financial company executives is divided into five stages: caution, caution, warning, reprimand, suspension, and recommendation for dismissal. The censure warning and above are classified as severe disciplinary action, which limits employment in the financial sector for three to five years.
In addition, institutional sanctions are divided into five stages: ▲Institutionalism ▲Institutional warning ▲correction/suspension order ▲authorization cancellation ▲business suspension. Any abnormality of institutional warning is considered severe discipline.
If the sanctions are decided in the same manner as in advance notification, CEO Chung cannot be reappointed after the term of office expires in March next year.
NH Investment & Securities’ Optimus Fund sales amounted to 432.7 billion won, which is 84% of the median redemption amount. NH Investment & Securities is expected to emphasize that it is making efforts to protect consumers by conveying its intention to become the largest shareholder of the bridge manager in charge of transferring and managing the Optimus Fund on the 1st.
The Korea Securities Depository, which originally served as an office management company, was also notified of severe disciplinary action in advance, but fell into the sanctions trial.
Meanwhile, the Financial Supervisory Service is scheduled to hold sanctions on Lime Fund sellers Shinhan Finance and Woori Finance on the 25th. Sanctions against Hana Bank remain in the second quarter. Hana Bank sold German Heritage Fund, Italian Healthcare Fund, and Lime Fund.
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