Overview
Related Practices
Representative Experience
2019-Present
Bae, Kim & Lee, LLC
2018-2019
Audit Inspection Department, Financial Supervisory Service
2016-2018
Consumer Complaints Center, Financial Supervisory Service
2013-2016
Capital Market Investigation Department 1, Financial Supervisory Service
2012-2013
Dispute Resolution Bureau (Insurance, Bank), Financial Supervisory Service
2008-2012
Daewoo Securities
2004-2008
Hanul Professional Law Corp.
Representative Matters
Advised clients in response to the Financial Supervisory Service's investigations into unfair trade allegations (e.g., Company A's use of undisclosed information, Company AB's price manipulation, Company AC's unlawful transactions)
Advised clients including casino business operator and others on response to the inspection and sanctions by the Korea Financial Intelligence Unit, Financial Services Commission
Advised clients in response to the Financial Supervisory Service's accounting inspection and regarding the Act on External Audit of Stock Companies
Advised Bank B, Securities Companies BA and BC on their response to inspection and sanctions involving private equity funds' mis-selling
Represented Securities Company C and others in responding to inspection and sanctions in connection with compensation for the loss from trust and wrapaccount
Advised clients in response to the Financial Supervisory Service's investigations into unfair trade allegations (e.g., Company A's use of undisclosed information, Company AB's price manipulation, Company AC's unlawful transactions)
Advised clients including casino business operator and others on response to the inspection and sanctions by the Korea Financial Intelligence Unit, Financial Services Commission
Advised clients in response to the Financial Supervisory Service's accounting inspection and regarding the Act on External Audit of Stock Companies
Advised Bank B, Securities Companies BA and BC on their response to inspection and sanctions involving private equity funds' mis-selling
Represented Securities Company C and others in responding to inspection and sanctions in connection with compensation for the loss from trust and wrapaccount
Advised an asset management company and a real estate trust company on their respective sales activities and response to sanctions
Advised a credit-specialized financial company on its new establishment and registration
Advised clients on the Financial Holding Companies Act and the Act on Corporate Governance of Financial Companies
Advised clients on the financial regulations including the Act on Real Name Financial Transactions and Confidentiality
Advised, as secretary to the task force, on the response to the investigation into financial securities crime
Education
2004
Judicial Research and Training Institute, Supreme Court of Korea
2002
Seoul National University (B.A.)
Selected Activities
Publications
A Case Study on Capital Market Unfair Trading & Disclosure (Co-author, Financial Supervisory Service, 2015)
Manual for the Investigation of Unfair Trade Practices (Co-author, Financial Supervisory Service, 2014)
A Case Study on Capital Market Unfair Trading (Co-author, Financial Supervisory Service, 2013)
Legal issue about Liability for Warranty against Defects of Aggregate Building, Human Rights and Justice Vol. 356, pp.161-184 (Korean Bar Association, 2006)
Activity
Lecture at the Accounting Academy, Financial Supervisory Service (2018)
Lecture at the Unfair Trade Investigation Academy, Financial Supervisory Service (2015-2016)
Awards
Citation (Governor of the Financial Supervisory Service, 2016)
Qualifications
2004
Korea
