NH Investment and other Optimus sanctions deliberation held on the 18th… Expect severe disciplinary action
(Seoul = Yonhap News) Lim Soo-jung, Lee Ji-heon, Park Won-hee, reporter = The Financial Supervisory Service will open a sanction review committee on financial companies related to the Optimus crisis on the 18th.
According to the financial authorities and the financial investment industry on the 1st, the Financial Supervisory Service last week, NH Investment & Securities, the largest seller of Optimus Fund.[005940]And the office management company Korea Securities Depository and Hana Bank, the trustee, of the disciplinary proposal.
Considering that the Financial Supervisory Service issued a reprimand to the majority of former and current CEOs of securities companies selling lime funds in November last year, Jung Young-chae, CEO of NH Investment & Securities, also severely punished (recommended for dismissal, suspension of work, and reprimand). There are many observations that the report would have been notified.
If severe punishment is finalized, employment in the financial sector will be restricted in the future.
NH Investment’s Optimus Fund sales amounted to KRW 432.7 billion, which is 84% of the total redemption stop.
In future sanctions, the Financial Supervisory Service is expected to take responsibility for selling large amounts of funds to investors without properly filtering out bad funds.
NH Investment is confronting themselves as victims of Optimus’ fraud.
Even if the FSS’s prosecutor’s office has notified the proposal for severe disciplinary action, the level of sanctions may be adjusted during the stage of the sanctions review in which external members participate. The sanctions deliberation is conducted in a large-election system in which the person subject to the sanctions attends and presents rebuttal opinions.
Securities Depository and Hana Bank, respectively, are being criticized for failing to properly supervise fund management as an administrative manager and trustee.
However, it is known that Hana Bank President Ji Sung-gyu was excluded from the sanctions in consideration of responsibility for actions.
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