금융위원회가 주식 등 금융투자상품 매매 관련 규정을 위반한 한국거래소와 금융감독원 직원들이 무더기로 제재했다.

금융위원회는 지난 제20차 증권선물위원회에서 ‘자본시장과 금융투자업에 관한 법률(이하 자본시장법)’ 제63조(임직원의 금융투자상품 매매) 등을 위반한 한국거래소와 금융감독원 직원들에게 과태료 6,290만원과 1,370만원을 각각 부과했다.

구체적으로 한국거래소 직원 39명(제재 대상 총 41명 중 2명은 과태료 면)에게는 각 20만원, 50만원(6명), 70만원(4명), 100만원(11명), 120만원(6명), 150만원, 170만원, 200만원, 240만원, 260만원, 300만원, 360만원, 480만원(3명), 750만원, 그리고 금융감독원 직원 8명에게는 각 70만원(3명), 100만원(2명), 210만원, 300만원, 450만원의 과태료가 부과됐다.

자본시장법에 제63조에 따르면, 금융투자업자(거래소, 금융감독원 포함)의 임직원이 자기의 계산으로 주식 등 금융투자상품을 매매하는 경우, ①소속 기관에 신고한 하나의 (거래)계좌를 통해, ②자기 명의로만 매매해야 하고, ③매 분기별로 매매명세(매매 내역서)를 소속 기관에 제출해야 한다.

이번 과태료 부과 대상에는 ⓐ분기별 매매명세를 제출하지 않은 사례가 가장 많았으며, 이외에도 일부는 ⓑ소속 기관에 거래 계좌를 신고하지 않거나, ⓒ신고 계좌 이외의 계좌(본인, 자녀 또는 배우자)로 매매하거나, ⓓ복수의 증권사 및 계좌를 매매에 이용한 사례도 있었다.

한편 한국거래소는 ‘금융회사로서 분쟁 등의 처리 절차’를 마련하지 않아 기관주의도 받게 됐다.

전자금융거래법상 금융회사로 분류되는 한국거래소(동 법 제2조와 동 시행령 제2조 제7호)는 ‘전자금융거래와 관련하여 이용자(회원사)가 제기하는 정당한 의견이나 불만을 반영하고, 전자금융거래로부터 손해를 입은 이용자에 대한 배상 절차를 마련해야 함에도 이를 마련하지 않았다.

English version>>

The FSC sanctioned a large number of employees of the Korea Exchange and the FSS for violating the Capital Markets Act.

The Financial Services Commission (FSC) sanctioned a large number of employees of the Korea Exchange (KE) and the Financial Supervisory Service (FSS) for violating regulations related to the trading of financial investment products such as stocks.

At the 20th Securities and Futures Commission meeting, the FSC imposed fines of KRW 62.9 million and KRW 13.7 million, respectively, on employees of the KE and the FSS for violating Article 63 (trading of financial investment products by executives and employees) of the Capital Markets Act.

Specifically, 39 employees of the KE (two of the 41 employees subject to sanctions are exempt from fines) were fined 200,000 won, 500,000 won (6 people), 700,000 won (4), 1 million won (11), 1.2 million won (6), 1.5 million won, 1.7 million won, 2.0 million won, 2.4 million won, 2.6 million won, 3 million won, 3.6 million won, 4.8 million won (3), 7.5 million won, and eight employees of the FSS were fined 700,000 won (3 people), 1.0 million won (2), 2.1 million won, 3.0 million won, and 4.5 million won, respectively.

According to Article 63 of the Capital Markets Act, when executives and employees of financial investment companies (including the KE and the FSS) buy and sell stocks and other financial investment products on their own account, ① through a single (trading) account reported to his/her institution (or company), ② in his/her own name only, and ③ must submit a trading statement to the institution every quarter.

Among those subject to this fine, the most common cases were ⓐ failure to submit quarterly trading statement, and in addition, some ⓑ failed to report transaction accounts to his/her institution (or company), ⓒ made transactions using an account other than the reported account (own other account, children’s or spouse’s account), or, ⓓThere were also cases where multiple securities companies and accounts were used for trading.

Meanwhile, the Korea Exchange was also received institutional attention as it did not establish ‘procedures for handling disputes, etc. as a financial company.’

The Korea Exchange (Article 2 of the same Act and Article 2 No. 7 of the Enforcement Decree), which is classified as a financial company under the Electronic Financial Transactions Act, did not prepare a compensation procedure for users who suffered losses from electronic financial transactions, reflecting legitimate opinions or complaints raised by users (member companies) in relation to electronic financial transactions.

이미지: 연합뉴스, FSS