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| 24일 오전 SG(소시에테제네랄)증권발 폭락 사태와 관련, 검찰의 압수수색이 진행되고 있는 키움증권 본사의 모습. (사진=연합뉴스) |
[Alpha Biz=(Chicago) Reporter Paul Lee] The Financial Supervisory Service conducted an investigation into the difference transaction (CFD) of securities firms that caused the lower limit from Societe Generale Securities, and found loopholes such as securities firm executives' breach of trust and not properly verifying their identity when opening accounts. The La Deok-yeon group, a key force in the crash, took advantage of the loopholes in the CFD to recruit multi-level investors.
According to the Financial Supervisory Service on the 25th, it is required to open CFD accounts after registering professional investors, but some securities firms have omitted identity verification procedures when opening non-face-to-face CFD accounts. When opening a non-face-to-face account, multiple authentications must be obtained through a real-name verification card, video call, or existing account verification, but the procedure was not properly implemented.
The breach of trust of an executive of a securities company in charge of CFD was also found. The executive received marketing money from a foreign securities firm that signed an CFD contract and remitted it to a developer of a local CFD trading system, raising allegations of business breach of trust, and the Financial Supervisory Service is looking into the details of the payment.
It was also confirmed that a man related to an executive of a securities firm sold some stocks in large quantities just before the lower limit from SG Securities occurred. The Financial Supervisory Service handed over the data to the prosecution, judging that further investigation is needed, including the alleged use of undisclosed information.
AlphaBIZ 폴 리(hoondork1977@alphabiz.co.kr)
