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[Alpha Biz=(Chicago) Reporter Paul Lee] Financial authorities have also launched an CFD inspection of Hana Securities (Hana Financial Group) and Kyobo Securities, following Kiwoom Securities, in connection with the plunge in stock prices from SG Securities.

According to the financial investment industry on the 21st, the FSS began the CFD inspection of Hana Securities on the 8th. The inspection is aimed at looking into CFD issues by looking at the integrated trading practice of buying and selling bonds by setting prices in advance through the operation of trust and wrap accounts. Kyobo Securities is also conducting an CFD sales survey from the 10th. The Financial Supervisory Service also extended the survey period for Kiwoom Securities, which was the first to start earlier, from the previous three to 19 days.

The Financial Supervisory Service plans to check whether securities firms faithfully followed the conditions and regulations of individual professional investors during the CFD inspection. The use of customer order information and the involvement of internal executives and employees are also known to be subject to the inspection.

In particular, with regard to Kiwoom Securities, we will also look into the connection between the mass sales of H Investment Advisor Ra Duk-yeon and Daum Group Chairman Kim Ik-rae. As Chairman Kim served as a registered director of Kiwoom Securities, the FSS says it has no choice but to confirm whether executives and employees were involved in CFD transactions.

Separately, the Financial Services Commission is also investigating about 3,400 CFD accounts held by 18 domestic and foreign securities firms.

 

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