공포번호 19566
공포일 2023-07-18
금융위원회
Financial Services Commission
전체선택
제1편 총칙
PART I GENERAL PROVISIONS
제1조(목적)
Article 1 (Purpose)
제2조(국외행위에 대한 적용)
Article 2 (Applicability to Activities Conducted Abroad)
제3조(금융투자상품)
Article 3 (Financial Investment Instruments)
제4조(증권)
Article 4 (Securities)
제5조(파생상품)
Article 5 (Derivatives)
제6조(금융투자업)
Article 6 (Financial Investment Business)
제7조(금융투자업의 적용배제)
Article 7 (Exemption of Financial Investment Business from Application)
제8조(금융투자업자)
Article 8 (Financial Investment Business Entities)
제8조의2(금융투자상품시장 등)
Article 8-2 (Financial Investment Instruments Market)
제9조(그 밖의 용어의 정의)
Article 9 (Other Definitions)
제10조(다른 법률과의 관계)
Article 10 (Relationship to Other Statutes)
제2편 금융투자업
PART II FINANCIAL INVESTMENT BUSINESSES
제1장 금융투자업의 인가 및 등록
CHAPTER I AUTHORIZATION AND REGISTRATION OF FINANCIAL INVESTMENT BUSINESSES
제1절 인가요건 및 절차
Section 1 Requirements and Procedures for Authorization
제11조(무인가 영업행위 금지)
Article 11 (Prohibition against Business Activities without Authorization)
제11조의2(알선ㆍ중개행위 금지)
Article 11-2 (Prohibition of Mediation or Brokerage)
제12조(금융투자업의 인가)
Article 12 (Authorization for Financial Investment Business)
제13조(인가의 신청 및 심사)
Article 13 (Application for Authorization and Examination)
제14조(예비인가)
Article 14 (Preliminary Authorization)
제15조(인가요건 등의 유지)
Article 15 (Meeting with Requirements for Authorization)
제16조(업무의 추가 및 인가의 변경)
Article 16 (Addition of Business Activities and Revision to Authorization)
제16조의2(투자매매업 등의 업무 단위 추가 및 등록)
Article 16-2 (Addition to Business Unit and Registration of Investment Trading Business)
제16조의3(외국 금융투자업자의 조직형태 변경에 따른 인가에 관한 특례)
Article 16-3 (Special Cases concerning Authorization following Change in Organizational Form of Foreign Financial Investment Business Entity)
제2절 등록요건 및 절차
Section 2 Requirements and Procedure for Registration
제17조(미등록 영업행위의 금지)
Article 17 (Prohibition against Unregistered Business Activities)
제18조(투자자문업 또는 투자일임업의 등록)
Article 18 (Registration of Investment Advisory Business or Discretionary Investment Business)
제19조(등록의 신청 등)
Article 19 (Application for Registration)
제20조(등록요건의 유지)
Article 20 (Maintenance of Requirements for Registration)
제20조의2(등록의 직권말소)
Article 20-2 (Ex Officio Cancellation of Registration)
제21조(업무의 추가 및 변경등록)
Article 21 (Addition of Business Activities and Revision to Registration)
제2장 금융투자업자의 지배구조
CHAPTER II GOVERNANCE OF FINANCIAL INVESTMENT BUSINESS ENTITY
제22조 삭제 <2015. 7. 31.>
Article 22 Deleted.
제23조 삭제 <2015. 7. 31.>
Article 23 Deleted.
제24조 삭제 <2015. 7. 31.>
Article 24 Deleted.
제25조 삭제 <2015. 7. 31.>
Article 25 Deleted.
제26조 삭제 <2015. 7. 31.>
Article 26 Deleted.
제27조 삭제 <2015. 7. 31.>
Article 27 Deleted.
제28조 삭제 <2015. 7. 31.>
Article 28 Deleted.
제28조의2(파생상품업무책임자)
Article 28-2 (Person in Charge of Derivatives Business)
제29조 삭제 <2015. 7. 31.>
Article 29 Deleted.
제3장 건전경영 유지
CHAPTER III MAINTENANCE OF SOUND BUSINESS MANAGEMENT
제1절 경영건전성 감독
Section 1 Supervision over Soundness in Business Management
제30조(재무건전성 유지)
Article 30 (Maintenance of Financial Soundness)
제31조(경영건전성기준)
Article 31 (Guidelines for Management Soundness)
제32조(회계처리)
Article 32 (Accounting)
제33조(업무보고서 및 공시 등)
Article 33 (Business Report and Public Disclosure)
제2절 대주주와의 거래제한 등
Section 2 Restrictions, etc. on Trading with Major Shareholders
제34조(대주주와의 거래 등의 제한)
Article 34 (Restriction on Trading with Major Shareholders)
제35조(대주주의 부당한 영향력 행사의 금지)
Article 35 (Prohibition on Exercise of Undue Influence by Major Shareholders)
제36조(금융위원회의 자료 제출명령)
Article 36 (Order of Financial Services Commission to Submit Materials)
제4장 영업행위 규칙
CHAPTER IV BUSINESS CONDUCT RULES
제1절 공통 영업행위 규칙
Section 1 Common Rules of Business Conduct
제1관 신의성실의무 등
Subsection 1 Duty of Good Faith
제37조(신의성실의무 등)
Article 37 (Duty of Good Faith)
제38조(상호)
Article 38 (Trade Names)
제39조(명의대여의 금지)
Article 39 (Prohibition on Lending of Names)
제40조(금융투자업자의 다른 금융업무 영위)
Article 40 (Financial Investment Business Entity Engaging in Other Financial Business)
제41조(금융투자업자의 부수업무 영위)
Article 41 (Financial Investment Business Entity Engaging in Incidental Business)
제42조(금융투자업자의 업무위탁)
Article 42 (Entrustment of Affairs by Financial Investment Business Entity)
제43조(검사 및 처분)
Article 43 (Inspections and Dispositions)
제44조(이해상충의 관리)
Article 44 (Control of Conflicts of Interest)
제45조(정보교류의 차단)
Article 45 (Suspending Exchanges of Information)
제2관 투자권유 등
Subsection 2 Investment Recommendations
제46조 삭제 <2020. 3. 24.>
Article 46 Deleted.
제46조의2 삭제 <2020. 3. 24.>
Article 46-2 Deleted.
제47조 삭제 <2020. 3. 24.>
Article 47 Deleted.
제48조(손해배상책임)
Article 48 (Liability for Damage)
제49조 삭제 <2020. 3. 24.>
Article 49 Deleted.
제50조(투자권유준칙)
Article 50 (Working Rules on Investment Recommendations)
제51조(투자권유대행인의 등록 등)
Article 51 (Registration of Investment Solicitors)
제52조(투자권유대행인의 금지행위 등)
Article 52 (Prohibited Acts of Investment Solicitors)
제53조(검사 및 조치)
Article 53 (Inspection and Measures)
제3관 직무관련 정보의 이용 금지 등
Subsection 3 Prohibition of Use of Job-Related Information
제54조(직무관련 정보의 이용 금지)
Article 54 (Prohibition on Use of Job-related Information)
제55조(손실보전 등의 금지)
Article 55 (Prohibition on Compensation for Losses)
제56조(약관)
Article 56 (Terms and Conditions)
제57조 삭제 <2020. 3. 24.>
Article 57 Deleted.
제58조(수수료)
Article 58 (Fees)
제59조 삭제 <2020. 3. 24.>
Article 59 Deleted.
제60조(자료의 기록ㆍ유지)
Article 60 (Keeping and Maintaining Records)
제61조(소유증권의 예탁)
Article 61 (Depositing of Acquired Securities)
제62조(금융투자업 폐지 공고 등)
Article 62 (Public Announcement of Discontinuance of Financial Investment Business)
제63조(임직원의 금융투자상품 매매)
Article 63 (Trading of Financial Investment Instruments by Executive Officers and/or Employees)
제63조의2(고객응대직원에 대한 보호 조치 의무)
Article 63-2 (Obligations to Take Measures to Protect Customer Service Personnel)
제64조(손해배상책임)
Article 64 (Liability for Damages)
제65조(외국 금융투자업자의 특례)
Article 65 (Special Cases concerning Foreign Financial Investment Business Entities)
제2절 금융투자업자별 영업행위 규칙
Section 2 Rules on Business Conduct by Financial Investment Business Entities
제1관 투자매매업자 및 투자중개업자의 영업행위 규칙
Subsection 1 Rules on Business Conduct by Investment Traders and Investment Brokers
제66조(매매형태의 명시)
Article 66 (Explicit Indication of Form of Trading)
제67조(자기계약의 금지)
Article 67 (Prohibition on Self-Contracting)
제68조(최선집행의무)
Article 68 (Best Execution Obligation)
제69조(자기주식의 예외적 취득)
Article 69 (Exceptional Acquisition of Treasury Stocks)
제70조(임의매매의 금지)
Article 70 (Prohibition on Discretionary Trading)
제71조(불건전 영업행위의 금지)
Article 71 (Prohibition on Unsound Business Activities)
제72조(신용공여)
Article 72 (Credit Granting)
제73조(매매명세의 통지)
Article 73 (Notification of Details of Trading)
제74조(투자자예탁금의 별도예치)
Article 74 (Separate Depositing of Investor's Deposit)
제75조(투자자 예탁증권의 예탁)
Article 75 (Depositing of Securities Deposited by Investors)
제76조(집합투자증권 판매 등에 관한 특례)
Article 76 (Special Cases concerning Sale of Collective Investment Securities)
제77조(투자성 있는 예금ㆍ보험에 대한 특례)
Article 77 (Special Cases concerning Deposits and Insurance with Investment Risk)
제77조의2(종합금융투자사업자의 지정 등)
Article 77-2 (Designation of Comprehensive Financial Investment Business Entities)
제77조의3(종합금융투자사업자에 관한 특례)
Article 77-3 (Special Cases concerning Comprehensive Financial Investment Business Entities)
제78조(다자간매매체결회사에 관한 특례)
Article 78 (Special Cases concerning Alternative Trading Systems)
제2관 집합투자업자의 영업행위 규칙
Subsection 2 Rules on Business Conduct by Collective Investment Business Entities
제79조(선관의무 및 충실의무)
Article 79 (Fiduciary Duty of Due Care and Duty of Good Faith)
제80조(자산운용의 지시 및 실행)
Article 80 (Instructions on, and Execution of, Asset Management)
제81조(자산운용의 제한)
Article 81 (Restrictions on Asset Management)
제82조(자기집합투자증권의 취득 제한)
Article 82 (Restriction on Acquisition of One's Own Collective Investment Securities)
제83조(금전차입 등의 제한)
Article 83 (Restrictions on Borrowing Money)
제84조(이해관계인과의 거래제한 등)
Article 84 (Restrictions on Transactions with Interested Parties)
제85조(불건전 영업행위의 금지)
Article 85 (Prohibition on Unsound Business Activities)
제86조(성과보수의 제한)
Article 86 (Restriction on Contingent Remuneration)
제87조(의결권 등)
Article 87 (Voting Rights)
제88조(자산운용보고서의 교부)
Article 88 (Delivery of Asset Management Reports)
제89조(수시공시)
Article 89 (Ad Hoc Public Disclosure)
제90조(집합투자재산에 관한 보고 등)
Article 90 (Reporting on Collective Investment Property)
제91조(장부ㆍ서류의 열람 및 공시 등)
Article 91 (Inspection and Public Disclosure of Account Books and Documents)
제92조(환매연기 등의 통지)
Article 92 (Notice of Deferment of Redemption)
제93조(파생상품의 운용 특례)
Article 93 (Special Cases concerning Management of Derivatives)
제94조(부동산의 운용 특례)
Article 94 (Special Cases concerning Management of Real Property)
제95조(청산)
Article 95 (Liquidation)
제3관 투자자문업자 및 투자일임업자의 영업행위 규칙
Subsection 3 Rules on Business Conduct by Investment Advisory Business Entities and Discretionary Investment Business Entities
제96조(선관의무 및 충실의무)
Article 96 (Fiduciary Duty of Due Care and Duty of Good Faith)
제97조(계약의 체결)
Article 97 (Execution of Contract)
제98조(불건전 영업행위의 금지)
Article 98 (Prohibition on Unsound Business Activities)
제98조의2(성과보수의 제한)
Article 98-2 (Restriction on Contingent Remuneration)
제99조(투자일임보고서의 교부)
Article 99 (Delivery of Discretionary Investment Report)
제100조(역외투자자문업자 등의 특례)
Article 100 (Special Cases concerning Offshore Investment Advisory Business Entity)
제101조(유사투자자문업의 신고)
Article 101 (Reporting on Quasi-Investment Advisory Business)
제4관 신탁업자의 영업행위 규칙
Subsection 4 Rules on Business Conduct by Trust Business Entities
제102조(선관의무 및 충실의무)
Article 102 (Fiduciary Duty of Due Care and Duty of Good Faith)
제103조(신탁재산의 제한 등)
Article 103 (Restrictions on Trust Property)
제104조(신탁재산과 고유재산의 구분)
Article 104 (Segregation of Trust Property from Proprietary Property)
제105조(신탁재산 등 운용의 제한)
Article 105 (Restrictions on Management of Trust Property)
제106조(여유자금의 운용)
Article 106 (Management of Surplus Fund)
제107조 삭제 <2009. 2. 3.>
Article 107 Deleted.
제108조(불건전 영업행위의 금지)
Article 108 (Prohibition on Unsound Business Activities)
제109조(신탁계약)
Article 109 (Trust Contract)
제110조(수익증권)
Article 110 (Beneficiary Certificate)
제111조(수익증권의 매수)
Article 111 (Repurchasing Beneficiary Certificates)
제112조(의결권 등)
Article 112 (Voting Rights)
제113조(장부ㆍ서류의 열람 및 공시 등)
Article 113 (Inspection and Public Disclosure of Account Books and Documents)
제114조(신탁재산의 회계처리 등)
Article 114 (Accounting of Trust Property)
제115조(회계감사인의 손해배상책임)
Article 115 (Auditor's Liability for Damage)
제116조(합병 등)
Article 116 (Merger)
제117조(청산)
Article 117 (Liquidation)
제117조의2(관리형신탁에 관한 특례)
Article 117-2 (Special Cases concerning Managerial Trust)
제5장 온라인소액투자중개업자 등에 대한 특례
CHAPTER V SPECIAL CASES CONCERNING CROWDFUNDING BROKERS, ETC.
제117조의3(미등록 영업행위의 금지)
Article 117-3 (Prohibition on Business Activities without Registration)
제117조의4(등록)
Article 117-4 (Registration)
제117조의5(유사명칭의 사용 금지 등)
Article 117-5 (Prohibition, etc. on Use of Similar Name)
제117조의6(지배구조 등)
Article 117-6 (Corporate Governance, etc.)
제117조의7(영업행위의 규제 등)
Article 117-7 (Regulations on Business Activities)
제117조의8(청약증거금의 관리)
Article 117-8 (Management of Subscription Deposits)
제117조의9(투자광고의 특례)
Article 117-9 (Special Cases concerning Advertisements Soliciting Investment)
제117조의10(증권 모집의 특례)
Article 117-10 (Special Cases concerning Public Offering of Securities)
제117조의11(게재 내용의 사실확인)
Article 117-11 (Ascertaining Facts of Posted Matters)
제117조의12(손해배상책임 등)
Article 117-12 (Liability for Damage)
제117조의13(중앙기록관리기관)
Article 117-13 (Central Record Keeping Agency)
제117조의14(투자자명부의 관리)
Article 117-14 (Management of Register of Investors)
제117조의15(전자게시판서비스 제공자의 책임)
Article 117-15 (Responsibilities of Providers of Electronic Message Board Services)
제117조의16(검사 및 조치)
Article 117-16 (Inspections and Measures)
제3편 증권의 발행 및 유통
PART III ISSUANCE AND CIRCULATION OF SECURITIES
제1장 증권신고서
CHAPTER I REGISTRATION STATEMENT
제118조(적용범위)
Article 118 (Scope of Application)
제119조(모집 또는 매출의 신고)
Article 119 (Registration of Public Offering or Sale)
제119조의2(자료요구권 등)
Article 119-2 (Right to Request Data)
제120조(신고의 효력발생시기 등)
Article 120 (Effective Date of Registration Statement)
제121조(거래의 제한)
Article 121 (Restrictions on Trading)
제122조(정정신고서)
Article 122 (Corrective Registration Statement)
제123조(투자설명서의 작성ㆍ공시)
Article 123 (Preparation and Public Disclosure of Investment Prospectus)
제124조(정당한 투자설명서의 사용)
Article 124 (Fair Use of Investment Prospectus)
제125조(거짓의 기재 등으로 인한 배상책임)
Article 125 (Liabilities for Damage Caused by False Descriptions)
제126조(손해배상액)
Article 126 (Amount of Damages)
제127조(배상청구권의 소멸)
Article 127 (Cease of Claims for Damage)
제128조(증권발행실적보고서)
Article 128 (Post-Issuance Report)
제129조(신고서와 보고서의 공시)
Article 129 (Public Disclosure of Registration Statement and Post-issuance Report)
제130조(신고서를 제출하지 아니하는 모집ㆍ매출)
Article 130 (Public Offering or Sale without Filing Registration Statement)
제131조(보고 및 조사)
Article 131 (Reporting and Inspection)
제132조(위원회의 조치)
Article 132 (Measures by Financial Services Commission)
제2장 기업의 인수ㆍ합병 관련제도
CHAPTER II SYSTEMS RELATED TO CORPORATE ACQUISITION OR MERGER
제1절 공개매수
Section 1 Public Tender Offer
제133조(공개매수의 적용대상)
Article 133 (Subject Matters of Tender Offer)
제134조(공개매수공고 및 공개매수신고서의 제출)
Article 134 (Public Disclosure of Tender Offer and Submission of Tender Offer Statement)
제135조(신고서 사본의 송부)
Article 135 (Submission of Copied Tender Offer Statement)
제136조(정정신고ㆍ공고 등)
Article 136 (Corrective Statement and Public Announcement)
제137조(공개매수설명서의 작성ㆍ공시)
Article 137 (Preparation and Public Disclosure of Prospectus for Tender Offer)
제138조(공개매수에 관한 의견표명)
Article 138 (Manifestation of Opinion on Tender Offer)
제139조(공개매수의 철회 등)
Article 139 (Revocation of Tender Offer)
제140조(공개매수에 의하지 아니한 매수등의 금지)
Article 140 (Prohibition on Purchase Other than through Tender Offer)
제141조(공개매수의 조건과 방법)
Article 141 (Terms, Conditions and Manner of Tender Offer)
제142조(공개매수자 등의 배상책임)
Article 142 (Liability for Damage of Tender Offeror)
제143조(공개매수결과보고서)
Article 143 (Post Tender Offer Report)
제144조(신고서 등의 공시)
Article 144 (Public Disclosure of Statements)
제145조(의결권 제한 등)
Article 145 (Limitations on Voting Rights)
제146조(조사 및 조치)
Article 146 (Inspections and Measures)
제2절 주식등의 대량보유상황의 보고
Section 2 Reports on Stocks Held in Bulk
제147조(주식등의 대량보유 등의 보고)
Article 147 (Report on Stocks Held in Bulk)
제148조(대량보유보고서 등의 발행인에 대한 송부)
Article 148 (Dispatching of Report on Stocks Held in Bulk to Issuer)
제149조(보고서 등의 공시)
Article 149 (Public Disclosure of Reports)
제150조(위반 주식등의 의결권행사 제한 등)
Article 150 (Restrictions on Exercise of Voting Rights in Relation to Stocks Held in Violation)
제151조(조사 및 정정요구 등)
Article 151 (Inspection and Demand for Correction)
제3절 의결권 대리행사의 권유 제한
Section 3 Restriction on Solicitation to Exercise Voting Right by Proxy
제152조(의결권 대리행사의 권유)
Article 152 (Solicitation to Exercise Voting Rights by Proxy)
제152조의2(발행인과 의결권권유자와의 관계)
Article 152-2 (Relationship between Issuer and Proxy Solicitor)
제153조(위임장 용지 및 참고서류의 비치 및 열람)
Article 153 (Keeping and Inspection on Proxy Form and Reference Documents)
제154조(정당한 위임장 용지 등의 사용)
Article 154 (Fair Use of Proxy Form)
제155조(의견표명)
Article 155 (Manifestation of Opinion)
제156조(정정요구 등)
Article 156 (Demand for Correction)
제157조(위임장용지 등의 공시)
Article 157 (Public Disclosure of Proxy Forms)
제158조(조사 및 조치)
Article 158 (Inspection and Disposition)
제3장 상장법인의 사업보고서 등
CHAPTER III LISTED CORPORATION'S BUSINESS REPORTS
제159조(사업보고서 등의 제출)
Article 159 (Submission of Business Report)
제160조(반기ㆍ분기보고서의 제출)
Article 160 (Submission of Half-Yearly and Quarterly Reports)
제161조(주요사항보고서의 제출)
Article 161 (Submission of Reports on Material Facts)
제161조의2(자료요구권 등)
Article 161-2 (Right to Request Data)
제162조(거짓의 기재 등에 의한 배상책임)
Article 162 (Liability for Damage Caused by False Description)
제163조(사업보고서등의 공시)
Article 163 (Public Disclosure of Business Report)
제164조(조사 및 조치)
Article 164 (Inspection and Measures)
제165조(사업보고서 등의 제출에 관한 특례)
Article 165 (Special Cases concerning Submission of Business Reports)
제3장의2 주권상장법인에 대한 특례
CHAPTER III-2 SPECIAL CASES CONCERNING STOCK-LISTED CORPORATIONS
제165조의2(적용범위)
Article 165-2 (Scope of Application)
제165조의3(자기주식 취득 및 처분의 특례)
Article 165-3 (Special Cases concerning Acquisition and Disposition of Own Stocks)
제165조의4(합병 등의 특례)
Article 165-4 (Special Cases concerning Mergers)
제165조의5(주식매수청구권의 특례)
Article 165-5 (Special Cases concerning Appraisal Rights of Shareholders)
제165조의6(주식의 발행 및 배정 등에 관한 특례)
Article 165-6 (Special Cases concerning Issuance and Allocation of Stocks)
제165조의7(우리사주조합원에 대한 주식의 배정 등에 관한 특례)
Article 165-7 (Special Cases concerning Allocation of Stocks to Members of Employee Stock Ownership Associations)
제165조의8(액면미달발행의 특례)
Article 165-8 (Special Cases concerning Issuance Less Than Par Value)
제165조의9(주주에 대한 통지 또는 공고의 특례)
Article 165-9 (Special Cases concerning Notification or Public Notice to Shareholders)
제165조의10(사채의 발행 및 배정 등에 관한 특례)
Article 165-10 (Special Cases concerning Issuance and Allocation of Bonds)
제165조의11(조건부자본증권의 발행 등)
Article 165-11 (Issuance of Contingent Convertible Bonds)
제165조의12(이익배당의 특례)
Article 165-12 (Special Cases concerning Dividends)
제165조의13(주식배당의 특례)
Article 165-13 (Special Cases concerning Stock Dividends)
제165조의14(공공적 법인의 배당 등의 특례)
제165조의15(의결권이 없거나 제한되는 주식의 특례)
Article 165-15 (Special Cases concerning Stocks with No, or Limited Voting Rights)
제165조의16(주권상장법인 재무관리기준)
Article 165-16 (Standards for Financial Management of Stock-listed Corporations)
제165조의17(주식매수선택권 부여신고 등)
Article 165-17 (Reporting on Granting of Stock Options)
제165조의18(주권상장법인에 대한 조치)
Article 165-18 (Measures against Stock-Listed Corporations)
제165조의19(사외이사 및 상근감사에 관한 특례)
Article 165-19 (Special Cases concerning Outside Directors and Standing Auditors)
제165조의20(이사회의 성별 구성에 관한 특례)
Article 165-20 (Special Cases concerning Gender Composition of Board of Directors)
제4장 장외거래 등
CHAPTER IV OVER-THE-COUNTER TRADING
제166조(장외거래)
Article 166 (Over-the-Counter Trading)
제166조의2(장외파생상품의 매매 등)
Article 166-2 (Trading of Over-the-Counter Derivatives)
제166조의3(장외거래의 청산의무)
Article 166-3 (Obligation to Clear Over-the-Counter Transactions)
제167조(공공적 법인이 발행한 주식의 소유제한)
Article 167 (Limitations on Ownership of Stocks Issued by Public Purpose Corporations)
제168조(외국인의 증권 또는 장내파생상품 거래의 제한)
Article 168 (Restrictions on Foreigners' Trading of Securities and Exchange-Traded Derivatives)
제169조(회계감사인에 의한 감사증명)
Article 169 (Audit Certification by Auditors)
제170조(회계감사인의 손해배상책임)
Article 170 (Auditor's Liability for Damage)
제171조(보증금 등의 대신 납부)
Article 171 (Alternative Payment for Security Deposit)
제4편 불공정거래의 규제
PART IV REGULATION OF UNFAIR TRADING
제1장 내부자 거래 등
CHAPTER I INSIDER TRADING
제172조(내부자의 단기매매차익 반환)
Article 172 (Return of Insider's Short-Swing Profit)
제173조(임원 등의 특정증권등 소유상황 보고)
Article 173 (Reporting on Status of Specific Securities Owned by Executive Officers)
제173조의2(장내파생상품의 대량보유 보고 등)
Article 173-2 (Reporting on Exchange-Traded Derivatives Held in Bulk)
제174조(미공개중요정보 이용행위 금지)
Article 174 (Prohibition on Use of Material Nonpublic Information)
제175조(미공개중요정보 이용행위의 배상책임)
Article 175 (Liability for Damage Caused by Use of Material Nonpublic Information)
제2장 시세조종 등
CHAPTER II MARKET PRICE MANIPULATION
제176조(시세조종행위 등의 금지)
Article 176 (Prohibition on Market Price Manipulation)
제177조(시세조종의 배상책임)
Article 177 (Liability for Damage Caused by Market Price Manipulation)
제3장 부정거래행위 등
CHAPTER III UNFAIR TRADING
제178조(부정거래행위 등의 금지)
Article 178 (Prohibition on Unfair Trading)
제178조의2(시장질서 교란행위의 금지)
Article 178-2 (Prohibition on Market Disturbances)
제178조의3(불공정거래행위 통보 등)
Article 178-3 (Notification of Unfair Trade Practices)
제179조(부정거래행위 등의 배상책임)
Article 179 (Liability for Damage Caused by Unfair Trading)
제180조(공매도의 제한)
Article 180 (Restrictions on Short Sales)
제180조의2(순보유잔고의 보고)
Article 180-2 (Reporting on Net Positions)
제180조의3(순보유잔고의 공시)
Article 180-3 (Public Disclosure of Net Positions)
제180조의4(공매도 거래자의 모집 또는 매출에 따른 주식 취득 제한)
Article 180-4 (Restrictions on Acquisition of Stocks by Public Offering or Sale by Short Sellers)
제180조의5(차입공매도를 위한 대차거래정보 보관 등)
Article 180-5 (Retention of Information on Lending and Borrowing Transactions for Covered Short Sale)
제5편 집합투자기구
PART V COLLECTIVE INVESTMENT SCHEME
제1장 총칙
CHAPTER I GENERAL PROVISIONS
제181조(관련 법률의 적용)
Article 181 (Application of Related Statutes)
제182조(집합투자기구의 등록)
Article 182 (Registration of Collective Investment Scheme)
제182조의2(교차판매 집합투자기구의 등록)
Article 182-2 (Registration of Passport Funds)
제183조(집합투자기구의 명칭)
Article 183 (Name of Collective Investment Scheme)
제184조(집합투자기구의 업무수행 등)
Article 184 (Business Execution of Collective Investment Schemes)
제185조(연대책임)
Article 185 (Joint Liability)
제186조(자기집합투자증권의 취득 제한 등)
Article 186 (Restriction on Acquisition of One's Own Collective Investment Securities)
제187조(자료의 기록ㆍ유지)
Article 187 (Keeping and Maintaining Records)
제2장 집합투자기구의 구성 등
CHAPTER II ORGANIZATION OF COLLECTIVE INVESTMENT SCHEMES
제1절 투자신탁
Section 1 Investment Trust
제188조(신탁계약의 체결 등)
Article 188 (Execution of Trust Contract)
제189조(투자신탁의 수익권 등)
Article 189 (Beneficial Interests of Investment Trusts)
제190조(수익자총회)
Article 190 (General Meeting of Beneficiaries)
제191조(반대수익자의 수익증권매수청구권)
Article 191 (Dissenting Beneficiary's Right to Require Purchase of Beneficiary Certificates)
제192조(투자신탁의 해지)
Article 192 (Termination of Investment Trust)
제193조(투자신탁의 합병)
Article 193 (Merger of Investment Trusts)
제2절 회사 형태의 집합투자기구
Section 2 Collective Investment Scheme in Form of Company
제1관 투자회사
Subsection 1 Investment Company
제194조(투자회사의 설립 등)
Article 194 (Incorporation of Investment Company)
제195조(정관의 변경 등)
Article 195 (Amendment of Articles of Incorporation)
제196조(투자회사의 주식)
Article 196 (Investment Company's Stocks)
제197조(이사의 구분 등)
Article 197 (Classification of Directors)
제198조(법인이사)
Article 198 (Corporate Director)
제199조(감독이사)
Article 199 (Supervisory Director)
제200조(이사회)
Article 200 (Board of Directors)
제201조(주주총회)
Article 201 (General Meeting of Shareholders)
제202조(해산)
Article 202 (Dissolution)
제203조(청산)
Article 203 (Liquidation)
제204조(합병)
Article 204 (Mergers)
제205조(투자회사의 특례)
Article 205 (Special Cases concerning Investment Companies)
제206조(「상법」과의 관계)
Article 206 (Relation to Commercial Act)
제2관 투자유한회사
Subsection 2 Investment Limited Liability Company
제207조(투자유한회사의 설립 등)
Article 207 (Incorporation of Investment Limited Liability Company)
제208조(지분증권)
Article 208 (Equity Securities)
제209조(법인이사)
Article 209 (Corporate Director)
제210조(사원총회)
Article 210 (General Meeting of Partners)
제211조(준용규정)
Article 211 (Provisions Applicable Mutatis Mutandis)
제212조(「상법」과의 관계)
Article 212 (Relationship to Commercial Act)
제3관 투자합자회사
Subsection 3 Investment Limited Partnership Company
제213조(투자합자회사의 설립 등)
Article 213 (Incorporation of Investment Limited Partnership Company)
제214조(업무집행사원)
Article 214 (Managing Member)
제215조(사원총회)
Article 215 (General Meeting of Partners)
제216조(준용규정)
Article 216 (Provisions Applicable Mutatis Mutandis)
제217조(「상법」과의 관계)
Article 217 (Relation to Commercial Act)
제4관 투자유한책임회사
Subsection 4 Investment Limited Liability Company
제217조의2(투자유한책임회사의 설립 등)
Article 217-2 (Establishment of Investment Limited Liability Company)
제217조의3(지분증권)
Article 217-3 (Equity Securities)
제217조의4(업무집행자)
Article 217-4 (Managers)
제217조의5(사원총회)
Article 217-5 (General Meeting of Partners)
제217조의6(준용규정)
Article 217-6 (Provisions Applicable Mutatis Mutandis)
제217조의7(「상법」과의 관계)
Article 217-7 (Relationship to Commercial Act)
제3절 조합 형태의 집합투자기구
Section 3 Collective Investment Scheme in Form of Association
제1관 투자합자조합
Subsection 1 Investment Limited Partnership
제218조(투자합자조합의 설립 등)
Article 218 (Establishment of Investment Limited Partnership)
제219조(업무집행조합원 등)
Article 219 (General Partner)
제220조(조합원총회)
Article 220 (General Meeting of Partners)
제221조(투자합자조합의 해산 및 청산)
Article 221 (Dissolution and Liquidation of Investment Limited Partnership)
제222조(준용규정)
Article 222 (Provisions Applicable Mutatis Mutandis)
제223조(「상법」 및 「민법」과의 관계)
Article 223 (Relationship to Commercial Act and Civil Act)
제2관 투자익명조합
Subsection 2 Undisclosed Investment Association
제224조(투자익명조합의 설립 등)
Article 224 (Establishment of Undisclosed Investment Association)
제225조(영업자)
Article 225 (Business Operator)
제226조(익명조합원총회)
Article 226 (General Meeting of Undisclosed Partners)
제227조(준용규정)
Article 227 (Provisions Applicable Mutatis Mutandis)
제228조(다른 법률과의 관계)
Article 228 (Relationship to Other Statutes)
제3장 집합투자기구의 종류 등
CHAPTER III TYPES OF COLLECTIVE INVESTMENT SCHEMES
제1절 집합투자기구의 종류
Section 1 Types of Collective Investment Schemes
제229조(집합투자기구의 종류)
Article 229 (Types of Collective Investment Schemes)
제2절 특수한 형태의 집합투자기구
Section 2 Collective Investment Schemes in Extraordinary Form
제230조(환매금지형집합투자기구)
Article 230 (Closed-End Fund)
제231조(종류형집합투자기구)
Article 231 (Multiple-Class Funds)
제232조(전환형집합투자기구)
Article 232 (Umbrella Funds)
제233조(모자형집합투자기구)
Article 233 (Master-Feeder Funds)
제234조(상장지수집합투자기구)
Article 234 (Exchange-Traded Fund)
제234조의2 삭제 <2013. 8. 13.>
Article 234-2 Deleted.
제4장 집합투자증권의 환매
CHAPTER IV REDEMPTION OF COLLECTIVE INVESTMENT SECURITIES
제235조(환매청구 및 방법 등)
Article 235 (Claim for Redemption and Manner therefor)
제236조(환매가격 및 수수료)
Article 236 (Redemption Price and Commission)
제237조(환매의 연기)
Article 237 (Postponement of Redemption)
제5장 평가 및 회계
CHAPTER V ASSESSMENT AND ACCOUNTING
제238조(집합투자재산의 평가 및 기준가격의 산정 등)
Article 238 (Assessment of Collective Investment Property and Computation of Base Price)
제239조(결산서류의 작성 등)
Article 239 (Preparation of Documents of Settlement of Accounts)
제240조(집합투자재산의 회계처리 등)
Article 240 (Accounting of Collective Investment Property)
제241조(회계감사인의 손해배상책임)
Article 241 (Auditor's Liability for Damage)
제242조(이익금의 분배)
Article 242 (Distribution of Profit)
제243조 삭제 <2015. 7. 24.>
Article 243 Deleted.
제6장 집합투자재산의 보관 및 관리
CHAPTER VI SAFEKEEPING AND MANAGEMENT OF COLLECTIVE INVESTMENT PROPERTY
제244조(선관주의의무)
Article 244 (Fiduciary Duty of Due Care)
제245조(적용배제)
Article 245 (Exclusion from Application)
제246조(신탁업자의 업무제한 등)
Article 246 (Limitations on Business of Trust Business Entities)
제247조(운용행위감시 등)
Article 247 (Monitoring of Operational Acts)
제248조(자산보관ㆍ관리보고서의 교부)
Article 248 (Delivery of Report on Safekeeping and Management of Assets)
제7장 사모집합투자기구 등에 대한 특례
CHAPTER VII SPECIAL CASES CONCERNING PRIVATE EQUITY FUNDS
제1절 일반 사모집합투자기구
Section 1 General Private Equity Funds
제249조(미등록 영업행위의 금지)
Article 249 (Prohibition on Business Activities without Registration)
제249조의2(일반 사모집합투자기구의 투자자)
Article 249-2 (Investors in General Private Equity Fund)
제249조의3(일반 사모집합투자업의 등록)
Article 249-3 (Registration of General Private Equity Fund Business)
제249조의4(일반 사모집합투자기구의 투자권유 등)
Article 249-4 (Investment Recommendations of General Private Equity Fund)
제249조의5(일반 사모집합투자기구의 투자광고)
Article 249-5 (Investment Advertisements of General Private Equity Fund)
제249조의6(일반 사모집합투자기구의 설정ㆍ설립 및 보고)
Article 249-6 (Creation or Establishment of, and Reporting on, General Private Equity Fund)
제249조의7(일반 사모집합투자기구의 집합투자재산 운용방법 등)
Article 249-7 (Methods of Managing Collective Investment Property Held by General Private Equity Fund)
제249조의8(일반 사모집합투자기구에 대한 특례)
Article 249-8 (Special Cases concerning General Private Equity Fund)
제249조의9(일반 사모집합투자기구에 대한 조치)
Article 249-9 (Measures against General Private Equity Fund)
제2절 기관전용 사모집합투자기구 등
Section 2 Institutional Private Equity Funds
제249조의10(설립 및 보고)
Article 249-10 (Establishment and Reporting)
제249조의11(사원 및 출자)
Article 249-11 (Partners and Contributions)
제249조의12(기관전용 사모집합투자기구 집합투자재산의 운용방법)
Article 249-12 (Methods for Managing Collective Investment Property of Institutional Private Equity Funds)
제249조의13(투자목적회사)
Article 249-13 (Special-Purpose Companies)
제249조의14(업무집행사원 등)
Article 249-14 (Managing Members)
제249조의15(업무집행사원의 등록 등)
Article 249-15 (Registration of Managing Members)
제249조의16(이해관계인과의 거래제한 등)
Article 249-16 (Restrictions on Transactions with Interested Parties)
제249조의17(지분양도 등)
Article 249-17 (Transfer of Equity Shares)
제249조의18(상호출자제한기업집단 계열 기관전용 사모집합투자기구 등에 대한 제한)
Article 249-18 (Restrictions on Institutional Private Equity Funds Affiliated with Business Groups subject to Limitations on Cross Shareholding)
제249조의19(지주회사 규제의 특례)
Article 249-19 (Special Cases concerning Regulation on Holding Companies)
제249조의20(기관전용 사모집합투자기구에 대한 특례)
Article 249-20 (Special Cases concerning Institutional Private Equity Funds)
제249조의21(기관전용 사모집합투자기구에 대한 조치)
Article 249-21 (Measures against Institutional Private Equity Funds)
제249조의22(기업재무안정 사모집합투자기구 등에 대한 특례)
Article 249-22 (Special Cases concerning Private Equity Funds for Corporate Financial Stability)
제249조의23(창업ㆍ벤처전문 사모집합투자기구 등에 대한 특례)
Article 249-23 (Special Cases concerning Private Equity Fund Specializing in Start-up or Venture Business)
제3절 은행 및 보험회사에 대한 특칙
Section 3 Special Provisions concerning Banks and Insurance Companies
제250조(은행에 대한 특칙)
Article 250 (Special Provisions concerning Banks)
제251조(보험회사에 대한 특칙)
Article 251 (Special Provisions concerning Insurance Companies)
제8장 감독ㆍ검사
CHAPTER VIII SUPERVISION AND INSPECTION
제252조(투자회사등에 대한 감독ㆍ검사)
Article 252 (Supervision and Inspection of Investment Companies)
제253조(집합투자기구의 등록취소 등)
Article 253 (Deregistration of Collective Investment Scheme)
제9장 집합투자기구의 관계회사
CHAPTER IX COMPANIES RELATED TO COLLECTIVE INVESTMENT SCHEMES
제254조(일반사무관리회사)
Article 254 (Fund Accounting and Administration Company)
제255조(준용규정)
Article 255 (Provisions Applicable Mutatis Mutandis)
제256조(일반사무관리회사에 대한 감독ㆍ검사)
Article 256 (Supervision and Inspection of Fund Accounting and Administration Companies)
제257조(일반사무관리회사에 대한 처분)
Article 257 (Measures against Fund Accounting and Administration Companies)
제258조(집합투자기구평가회사)
Article 258 (Fund Rating Companies)
제259조(영업행위준칙 등)
Article 259 (Business Conduct Standards)
제260조(준용규정)
Article 260 (Provisions Applicable Mutatis Mutandis)
제261조(집합투자기구평가회사에 대한 감독ㆍ검사)
Article 261 (Supervision and Inspection of Fund Rating Companies)
제262조(집합투자기구평가회사에 대한 조치)
Article 262 (Measures against Fund Rating Companies)
제263조(채권평가회사)
Article 263 (Bond Rating Companies)
제264조(업무준칙 등)
Article 264 (Business Conduct Standards)
제265조(준용규정)
Article 265 (Provisions Applicable Mutatis Mutandis)
제266조(채권평가회사에 대한 감독ㆍ검사)
Article 266 (Supervision and Inspection of Bond Rating Companies)
제267조(채권평가회사에 대한 조치)
Article 267 (Measures against Bond Rating Companies)
제10장 삭제
CHAPTER X Deleted.
제268조 삭제 <2015. 7. 24.>
Article 268 Deleted.
제269조 삭제 <2015. 7. 24.>
Article 269 Deleted.
제270조 삭제 <2015. 7. 24.>
Article 270 Deleted.
제271조 삭제 <2015. 7. 24.>
Article 271 Deleted.
제272조 삭제 <2015. 7. 24.>
Article 272 Deleted.
제272조의2 삭제 <2015. 7. 24.>
Article 272-2 Deleted.
제273조 삭제 <2015. 7. 24.>
Article 273 Deleted.
제274조 삭제 <2015. 7. 24.>
Article 274 Deleted.
제275조 삭제 <2009. 6. 9.>
Article 275 Deleted.
제276조 삭제 <2015. 7. 24.>
Article 276 Deleted.
제277조 삭제 <2015. 7. 24.>
Article 277 Deleted.
제278조 삭제 <2015. 7. 24.>
Article 278 Deleted.
제278조의2 삭제 <2013. 8. 13.>
Article 278-2 Deleted.
제278조의3 삭제 <2015. 7. 24.>
Article 278-3 Deleted.
제11장 외국 집합투자증권에 대한 특례
CHAPTER XI SPECIAL CASES CONCERNING FOREIGN COLLECTIVE INVESTMENT SECURITIES
제279조(외국 집합투자기구의 등록 등)
Article 279 (Registration of Foreign Collective Investment Scheme)
제280조(외국 집합투자증권의 국내판매)
Article 280 (Domestic Sale of Foreign Collective Investment Securities)
제281조(외국 집합투자업자 등에 대한 감독ㆍ검사)
Article 281 (Supervision and Inspection of Foreign Collective Investment Business Entity)
제282조(외국 집합투자기구의 등록취소)
Article 282 (Deregistration of Foreign Collective Investment Scheme)
제6편 금융투자업관계기관
PART VI INSTITUTIONS RELATED TO FINANCIAL INVESTMENT BUSINESS
제1장 한국금융투자협회
CHAPTER I KOREA FINANCIAL INVESTMENT ASSOCIATION
제283조(설립)
Article 283 (Establishment)
제284조(유사명칭 사용의 금지)
Article 284 (Prohibition on Using Similar Names)
제285조(회원)
Article 285 (Membership)
제286조(업무)
Article 286 (Business Affairs)
제287조(정관)
Article 287 (Articles of Incorporation)
제288조(분쟁의 자율조정)
Article 288 (Self-Resolution of Disputes)
제288조의2(장외파생상품심의위원회)
Article 288-2 (Deliberative Committee of Over-the-Counter Derivatives)
제289조(준용규정)
Article 289 (Provisions Applicable Mutatis Mutandis)
제290조(업무규정의 보고)
Article 290 (Reporting on Rules of Business)
제291조(연수원)
Article 291 (Training Institute)
제292조(협회에 대한 검사)
Article 292 (Inspection of Association)Article 419 (excluding paragraphs (2) through (4) and (8)) shall apply mutatis mutandis to the inspection of the Association.
제293조(협회에 대한 조치)
Article 293 (Measures against Association)
제2장 한국예탁결제원
CHAPTER II KOREA SECURITIES DEPOSITORY
제1절 설립 및 감독
Section 1 Establishment and Supervision
제294조(설립)
Article 294 (Establishment)
제295조(유사명칭의 사용금지)
Article 295 (Prohibition on Using Similar Names)
제296조(업무)
Article 296 (Business Affairs)
제297조(증권시장 결제기관)
Article 297 (Securities Market Settlement Institution)
제298조(예탁업무 영위 등의 금지)
Article 298 (Prohibition on Securities Depository Business)
제299조(정관)
Article 299 (Articles of Incorporation)
제300조(「상법」의 준용)
Article 300 (Application Mutatis Mutandis of Commercial Act)
제301조(임원 등)
Article 301 (Executive Officers)
제302조(예탁업무규정)
Article 302 (Rules on Deposit Business)
제303조(결제업무규정)
Article 303 (Rules on Settlement Business)
제304조(준용규정)
Article 304 (Provisions Applicable Mutatis Mutandis)
제305조(업무규정의 승인ㆍ보고)
Article 305 (Approval and Report on Business Rules)
제306조(예탁결제원에 대한 검사)
Article 306 (Inspection of Securities Depository)Article 419 (excluding paragraphs (2) through (4) and (8)) shall apply mutatis mutandis to the inspection of the Securities Depository.
제307조(예탁결제원에 대한 조치)
Article 307 (Measures against Securities Depository)
제2절 예탁관련제도
Section 2 Systems Related to Deposit of Securities
제308조(예탁대상증권등)
Article 308 (Securities to be Deposited)
제309조(예탁결제원에의 예탁 등)
Article 309 (Deposit in Securities Depository)
제310조(투자자의 예탁자에의 예탁 등)
Article 310 (Investor's Deposit of Securities in Depositor)
제311조(계좌부 기재의 효력)
Article 311 (Effect of Statement in Account Book)
제312조(권리 추정 등)
Article 312 (Presumption of Rights)
제313조(보전의무)
Article 313 (Liability for Coverage)
제314조(예탁증권등의 권리 행사 등)
Article 314 (Exercise of Rights of Deposited Securities)
제315조(실질주주의 권리 행사 등)
Article 315 (Exercise of Rights by Beneficial Shareholders)
제316조(실질주주명부의 작성 등)
Article 316 (Preparation of Register of Beneficial Shareholders)
제317조(민사집행)
Article 317 (Civil Execution)
제318조(실질주주증명서)
Article 318 (Certificate of Beneficial Ownership)
제319조 삭제 <2016. 3. 22.>
Article 319 Deleted.
제320조(외국예탁결제기관 등의 예탁 등에 관한 특례)
Article 320 (Special Cases concerning Deposit by Foreign Securities Depository)
제321조(보고 및 확인 등)
Article 321 (Report and Confirmation)
제322조(증권등의 관리)
Article 322 (Control of Securities)
제323조(발행명세 및 사고증권등의 명세 통지 등)
Article 323 (Notification of Description of Issuance and Notification of Description of Irregular Securities)
제2장의2 금융투자상품거래청산회사
CHAPTER II-2 CENTRAL COUNTERPARTY
제323조의2(무인가 청산영업행위 금지)
Article 323-2 (Prohibition against Clearing Business without Authorization)
제323조의3(금융투자상품거래청산업의 인가)
Article 323-3 (Authorization for Central Counterparty Clearing Business)
제323조의4(인가의 신청 및 심사)
Article 323-4 (Application for Authorization and Examination)
제323조의5(예비인가)
Article 323-5 (Preliminary Authorization)
제323조의6(인가요건의 유지)
Article 323-6 (Sustainment of Requirements for Authorization)
제323조의7(업무의 추가 및 인가의 변경)
Article 323-7 (Addition of Business Activities and Revision to Authorization)
제323조의8(유사명칭 사용 금지)
Article 323-8 (Prohibition on Using Similar Names)
제323조의9(임원 등)
Article 323-9 (Executive Officers)
제323조의10(업무)
Article 323-10 (Duties)
제323조의11(청산업무규정 등)
Article 323-11 (Rules on Clearing Business)
제323조의12(부당한 차별의 금지)
Article 323-12 (Prohibition on Undue Discrimination)
제323조의13(청산증거금)
Article 323-13 (Guarantee Money for Clearing)
제323조의14(손해배상공동기금)
Article 323-14 (Joint Compensation Fund)
제323조의15(채무변제순위)
Article 323-15 (Order of Repayment of Obligations)
제323조의16(금융투자상품거래청산회사의 거래정보 보고 등)
Article 323-16 (Report on Transaction Information of Central Counterparty)
제323조의17(준용규정)
Article 323-17 (Provisions Applicable Mutatis Mutandis)
제323조의18(주식소유의 제한)
Article 323-18 (Restrictions on Stockholding)
제323조의19(금융투자상품거래청산회사에 대한 검사)
Article 323-19 (Inspection of Central Counterparty)Article 419 (excluding paragraphs (2) through (4) and (8)) shall apply mutatis mutandis to the inspection of a central counterparty.
제323조의20(금융투자상품거래청산회사에 대한 조치)
Article 323-20 (Dispositions against Central Counterparty)
제3장 증권금융회사
CHAPTER III SECURITIES FINANCE COMPANY
제323조의21(무인가 증권금융업무 금지)
Article 323-21 (Prohibition against Unauthorized Securities Finance Business)
제324조(인가)
Article 324 (Authorization)
제325조(유사명칭 사용 금지)
Article 325 (Prohibition on Use of Similar Name)
제326조(업무)
Article 326 (Business Affairs)
제327조(임원 등)
Article 327 (Executive Officers)
제328조(준용규정)
Article 328 (Provisions Applicable Mutatis Mutandis)
제329조(사채의 발행)
Article 329 (Issuance of Corporate Bonds)
제330조(금융투자업자 자금의 예탁 등)
Article 330 (Deposit of Money by Financial Investment Business Entities)
제331조(감독)
Article 331 (Supervision)
제332조(업무 폐지 등의 승인)
Article 332 (Approval of Discontinuation of Business)
제333조(정관ㆍ규정의 보고)
Article 333 (Report on Articles of Incorporation and Rules)
제334조(증권금융회사에 대한 검사)
Article 334 (Inspection of Securities Finance Companies)Article 419 (excluding paragraphs (2) through (4) and (8)) shall apply mutatis mutandis to the inspection of securities finance companies.
제335조(증권금융회사에 대한 조치)
Article 335 (Measures against Securities Finance Companies)
제3장의2 신용평가회사
CHAPTER III-2 CREDIT RATING COMPANY
제335조의2(무인가 신용평가 금지)
Article 335-2 (Prohibition on Credit Assessment without Authorization)
제335조의3(인가)
Article 335-3 (Authorization)
제335조의4(인가의 신청 및 심사)
Article 335-4 (Application for Authorization and Examination)
제335조의5(예비인가)
Article 335-5 (Preliminary Authorization)
제335조의6(인가요건의 유지)
Article 335-6 (Sustainment of Requirements for Authorization)
제335조의7(유사명칭 사용 금지)
Article 335-7 (Prohibition on Using Similar Names)
제335조의8(임원 및 내부통제기준 등)
Article 335-8 (Executive Officers and Internal Control Standards)
제335조의9(독립성ㆍ공정성)
Article 335-9 (Independence and Fairness)
제335조의10(겸영업무 및 부수업무)
Article 335-10 (Concurrent Business and Incidental Business)
제335조의11(신용평가회사의 행위규칙)
Article 335-11 (Business Conduct Standards for Credit Rating Companies)
제335조의12(신용평가서 등의 제출ㆍ공시 등)
Article 335-12 (Submission, Public Disclosure of Credit Rating Reports)
제335조의13(의결권의 제한)
Article 335-13 (Restrictions on Voting Rights)
제335조의14(준용규정)
Article 335-14 (Provisions Applicable Mutatis Mutandis)
제335조의15(신용평가회사에 대한 조치)
Article 335-15 (Dispositions against Credit Rating Companies)
제4장 종합금융회사
CHAPTER IV MERCHANT BANK
제336조(종합금융회사의 업무)
Article 336 (Business of Merchant Banks)
제337조(지점등의 설치)
Article 337 (Establishment of Branches)
제338조(유사명칭의 사용금지)
Article 338 (Prohibition of Use of Similar Names)
제339조(인가사항 등)
Article 339 (Matters subject to Authorization)
제340조(채권의 발행)
Article 340 (Issuance of Bonds)
제341조(집합투자업에 대한 특례)
Article 341 (Special Cases concerning Collective Investment Business)
제342조(동일차주 등에 대한 신용공여한도 등)
Article 342 (Limits on Credit Granting to Same Borrower)
제343조(대주주와의 거래의 제한 등)
Article 343 (Restrictions on Transactions with Major Shareholders)
제344조(증권의 투자한도)
Article 344 (Limits on Investment in Securities)
제345조(자금지원 관련 금지행위)
Article 345 (Prohibited Acts regarding Funding)
제346조(지급준비자산의 보유)
Article 346 (Holding of Assets Required for Reserve)
제347조(부동산 취득의 제한)
Article 347 (Restrictions on Acquisition of Real Restate)
제348조 삭제 <2016. 3. 29.>
Article 348 Deleted.
제349조(과징금)
Article 349 (Penalty Surcharges)
제350조(준용규정)
Article 350 (Provisions Applicable Mutatis Mutandis)
제351조 삭제 <2009. 2. 3.>
Article 351 Deleted.
제352조(다른 법률과의 관계)
Article 352 (Relationship to Other Statutes)
제353조(종합금융회사에 대한 검사)
Article 353 (Inspection of Merchant Banks)Article 419 (excluding paragraphs (2) through (4) and (8)) shall apply mutatis mutandis to inspection on a merchant bank.
제354조(종합금융회사에 대한 조치)
Article 354 (Measures against Merchant Banks)
제5장 자금중개회사
CHAPTER V FUND BROKERAGE COMPANY
제355조(자금중개회사의 인가)
Article 355 (Authorization for Fund Brokerage Companies)
제356조(유사명칭 사용 금지)
Article 356 (Prohibition on Use of Similar Name)
제357조(자금중개회사의 행위규제 등)
Article 357 (Restrictions on Activities of Fund Brokerage Companies)
제358조(자금중개회사에 대한 검사)
Article 358 (Inspection of Fund Brokerage Companies)Article 419 (excluding paragraphs (2) through (4), and (8)) shall apply to inspection of fund brokerage companies.
제359조(자금중개회사에 대한 조치)
Article 359 (Measures against Fund Brokerage Companies)
제6장 단기금융회사
CHAPTER VI SHORT-TERM FINANCIAL COMPANY
제360조(금융기관의 단기금융업무)
Article 360 (Short-term Financing Business of Financial Institutions)
제361조(준용규정)
Article 361 (Provisions Applicable Mutatis Mutandis)
제362조(단기금융업무의 적용배제 등)
Article 362 (Exemption from Deeming as Short-term Financing Business)
제363조(단기금융회사에 대한 검사)
Article 363 (Inspection of Short-term Finance Company)Article 419 (excluding paragraphs (2) through (4), and (8)) shall apply mutatis mutandis to the inspection of a short-term finance company.
제364조(단기금융회사에 대한 조치)
Article 364 (Measures against Short-term Finance Company)
제7장 명의개서대행회사
CHAPTER VII TRANSFER AGENCY COMPANY
제365조(명의개서대행회사의 등록)
Article 365 (Registration of Transfer Agents)
제366조(명의개서대행회사의 부수업무)
Article 366 (Incidental Business of Transfer Agents)
제367조(준용규정)
Article 367 (Provisions Applicable Mutatis Mutandis)
제368조(명의개서대행회사에 대한 검사)
Article 368 (Inspection of Transfer Agents)Article 419 (excluding paragraphs (2) through (4), and (8)) shall apply to the inspection of transfer agents.
제369조(명의개서대행회사에 대한 조치)
Article 369 (Measures against Transfer Agents)
제8장 금융투자 관계 단체
CHAPTER VIII ORGANIZATIONS RELATED TO FINANCIAL INVESTMENT
제370조(금융투자 관계 단체의 설립 및 감독)
Article 370 (Establishment of, and Supervision on, Financial Services-Related Organizations)
제371조(금융투자 관계 단체에 대한 검사)
Article 371 (Inspection of Financial Services-related Organizations)Article 419 (excluding paragraphs (2) through (4) and (8)) shall apply mutatis mutandis to the inspection of a financial services-related organization.
제372조(금융투자 관계 단체에 대한 조치)
Article 372 (Measures against Financial Services-related Organizations)
제7편 거래소
PART VII EXCHANGES
제1장 총칙
CHAPTER I GENERAL PROVISIONS
제373조(무허가 시장개설행위 금지)
Article 373 (Prohibition against Establishment of Markets without Permission)
제373조의2(거래소의 허가)
Article 373-2 (Permission for Exchange)
제373조의3(허가의 신청 및 심사)
Article 373-3 (Application for Permission and Examination)
제373조의4(예비허가)
Article 373-4 (Preliminary Permission)
제373조의5(허가요건의 유지)
Article 373-5 (Maintaining Requirements for Permission)
제373조의6(시장개설 단위의 추가 및 허가의 변경)
Article 373-6 (Addition of Market Establishment Units and Revision to Permission)
제373조의7(상장 및 시장감시 등의 책무)
Article 373-7 (Responsibility for Listing and Market Supervision)
제374조(「상법」의 적용)
Article 374 (Application of Commercial Act)
제2장 조직 등
CHAPTER II ORGANIZATION
제375조 삭제 <2013. 5. 28.>
Article 375 Deleted.
제376조(정관)
Article 376 (Articles of Incorporation)
제377조(업무)
Article 377 (Business Affairs)
제378조(청산기관 및 결제기관)
Article 378 (Clearing Institution and Settlement Institution)
제379조(유사명칭의 사용금지)
Article 379 (Prohibition of Use of Similar Names)
제380조(임원)
Article 380 (Executive Officers)
제381조(이사회)
Article 381 (Board of Directors)
제382조(임원의 자격 등)
Article 382 (Qualifications for Executive Officers)
제383조(정보이용금지 등)
Article 383 (Prohibition on Use of Information)
제384조(감사위원회)
Article 384 (Audit Committee)
제385조(이사후보추천위원회)
Article 385 (Director Nomination Committee)
제3장 시장
CHAPTER III MARKETS
제386조(시장의 개설ㆍ운영)
Article 386 (Establishment and Operation of Markets)
제387조(회원)
Article 387 (Members)
제388조(시장에서의 거래자격)
Article 388 (Eligibility for Trading in Market)
제389조(거래의 종결)
Article 389 (Conclusion of Transactions)
제390조(상장규정)
Article 390 (Listing Regulations)
제391조(공시규정)
Article 391 (Disclosure Regulations)
제392조(공시의 실효성 확보)
Article 392 (Securing Effectiveness of Disclosure)
제393조(업무규정)
Article 393 (Business Regulations)
제394조(손해배상공동기금)
Article 394 (Joint Compensation Fund)
제395조(회원보증금)
Article 395 (Fidelity Guarantee Money)
제396조(위탁증거금 및 거래증거금)
Article 396 (Good Faith Deposit and Member Margin)
제397조(거래증거금과 회원보증금의 채무변제에의 충당)
Article 397 (Appropriation of Member Margin and Fidelity Guarantee Money for Repayment of Debt)
제398조(거래소에 의한 채무이행 등)
Article 398 (Repayment by Exchange)
제399조(거래소의 손해배상책임)
Article 399 (Exchange's Liability for Damage)
제400조(채무변제순위)
Article 400 (Repayment Order)
제401조(시세의 공표)
Article 401 (Publication of Quotations)
제4장 시장감시 및 분쟁조정
CHAPTER IV MARKET OVERSIGHT AND DISPUTE RESOLUTION
제402조(시장감시위원회)
Article 402 (Market Oversight Commission)
제403조(시장감시규정)
Article 403 (Market Oversight Regulations)
제404조(이상거래의 심리 또는 회원의 감리)
Article 404 (Investigations into Abnormal Trading and Inspection of Members)
제405조(분쟁의 자율조정)
Article 405 (Self-Resolution of Disputes)
제5장 소유 등에 대한 규제
CHAPTER V REGULATIONS ON OWNERSHIP
제406조(주식소유의 제한)
Article 406 (Restrictions on Stockholding)
제407조(이행강제금)
Article 407 (Charges for Compelling Compliance)
제408조(영업양도 등의 승인)
Article 408 (Approval of Business Transfer)
제409조(거래소가 발행한 증권의 상장 및 상장폐지의 승인)
Article 409 (Approval of Listing and De-listing Securities Issued by Exchange)
제6장 감독 등
CHAPTER VI SUPERVISION
제410조(보고와 검사)
Article 410 (Reports and Inspections)
제411조(거래소에 대한 조치)
Article 411 (Measures against Exchange)
제412조(거래소 규정의 승인)
Article 412 (Approval of Regulations of Exchange)
제413조(긴급사태시의 처분)
Article 413 (Disposition in Emergency)
제414조(시장효율화위원회)
Article 414 (Market Efficiency Committee)
제8편 감독 및 처분
PART VIII SUPERVISION AND DISPOSITIONS
제1장 명령 및 승인 등
CHAPTER I ORDERS AND APPROVAL
제415조(감독)
Article 415 (Supervision)
제416조(금융위원회의 조치명령권)
Article 416 (Financial Services Commission's Authority to Issue Orders to Take Measures)
제417조(승인사항 등)
Article 417 (Matters subject to Approval)
제418조(보고사항)
Article 418 (Matters to be Reported)
제2장 검사 및 조치
CHAPTER II INSPECTION AND MEASURES
제419조(금융투자업자에 대한 검사)
Article 419 (Inspection on Financial Investment Business Entity)
제420조(금융투자업자에 대한 조치)
Article 420 (Dispositions against Financial Investment Business Entities)
제421조(외국 금융투자업자의 지점등의 인가ㆍ등록의 취소 등에 대한 특례)
Article 421 (Special Cases concerning Revocation of Authorization or Registration of Branch Offices of Foreign Financial Investment Business Entities)
제422조(임직원에 대한 조치)
Article 422 (Dispositions against Executive Officers and/or Employees)
제423조(청문)
Article 423 (Hearings)
제424조(처분 등의 기록 및 공시 등)
Article 424 (Keeping Records and Public Disclosure of Dispositions)
제425조(이의신청)
Article 425 (Objection)
제3장 조사 등
CHAPTER III INVESTIGATIONS
제426조(보고 및 조사)
Article 426 (Reporting and Inspection)
제427조(불공정거래 조사를 위한 압수ㆍ수색)
Article 427 (Seizure and Search for Investigation into Unfair Trading)
제427조의2(조사권한의 남용 금지)
Article 427-2 (Prohibition against Abuse of Authority of Investigation)
제4장 과징금
CHAPTER IV PENALTY SURCHARGES
제428조(금융투자업자에 대한 과징금)
Article 428 (Penalty Surcharge on Financial Investment Business Entities)
제429조(공시위반에 대한 과징금)
Article 429 (Penalty Surcharges on Violation in Public Disclosure)
제429조의2(불공정거래행위 등에 대한 과징금)
Article 429-2 (Penalty Surcharge for Unfair Trade Act)
제429조의3(위법한 공매도에 대한 과징금)
Article 429-3 (Penalty Surcharges for Unlawful Short Sale)
제430조(과징금의 부과)
Article 430 (Imposition of Penalty Surcharges)
제431조(의견제출)
Article 431 (Presenting Opinions)
제432조(이의신청)
Article 432 (Raising Objections)
제433조(과징금납부기한의 연장 및 분할납부)
Article 433 (Extension of Deadline for Payment of Penalty Surcharges and Installment Payment)
제434조(과징금의 징수 및 체납처분)
Article 434 (Collection of Penalty Surcharges and Dispositions on Default)
제434조의2(과오납금의 환급)
Article 434-2 (Refund of Overpayments or Erroneous Payments)
제434조의3(환급가산금)
Article 434-3 (Additional Payment on Refund of Penalty Surcharges)
제434조의4(결손처분)
Article 434-4 (Disposition on Deficits)
제9편 보칙
PART IX SUPPLEMENTARY PROVISONS
제435조(위법행위의 신고 및 신고자 보호)
Article 435 (Reporting on Violation and Protection of Informant)
제436조(전자문서에 의한 신고 등)
Article 436 (Electronic Reporting)
제437조(외국금융투자감독기관과의 정보교환 등)
Article 437 (Exchange of Information with Foreign Financial Investment Supervisory Agencies)
제438조(권한의 위임 또는 위탁)
Article 438 (Delegation or Entrustment of Authority)
제439조(증권선물위원회의 심의)
Article 439 (Deliberation by the Securities and Futures Commission)
제440조(금융감독원장에 대한 지시ㆍ감독 등)
Article 440 (Instruction to, and Supervision over, the Governor of the Financial Supervisory Service)
제441조(금융투자상품 매매의 제한 등)
Article 441 (Restriction on Trading of Financial Investment Instruments)
제442조(분담금)
Article 442 (Contributions)
제442조의2(위반행위로 얻은 이익의 산정)
Article 442-2 (Calculation of Profits from Violation)
제10편 벌칙
PART X PENALTY PROVISIONS
제443조(벌칙)
Article 443 (Penal Provisions)
제444조(벌칙)
Article 444 (Penalty Provisions)
제445조(벌칙)
Article 445 (Penalty Provisions)
제446조(벌칙)
Article 446 (Penalty Provisions)
제447조(징역과 벌금의 병과)
Article 447 (Concurrent Imposition of Imprisonment with Labor and Fine)
제447조의2(몰수ㆍ추징)
Article 447-2 (Confiscation and Additional Collection)
제448조(양벌규정)
Article 448 (Joint Penalty Provisions)
제448조의2(형벌 등의 감면)
Article 448-2 (Reduction or Exemption of Punishment)
제449조(과태료)
Article 449 (Administrative Fines)
부칙 <제8635호, 2007. 8. 3.>
ADDENDA <Act No. 8635, Aug. 3, 2007>
부칙 <제8852호, 2008. 2. 29.>
ADDENDA <Act No. 8852, Feb. 29, 2008>
부칙 <제8863호, 2008. 2. 29.>
ADDENDA <Act No. 8863, Feb. 29, 2008>
부칙 <제9407호, 2009. 2. 3.>
ADDENDA <Act No. 9407, Feb. 3, 2009>
부칙 <제9408호, 2009. 2. 3.>
ADDENDA <Act No. 9408, Feb. 3, 2009>
부칙 <제9625호, 2009. 4. 22.>
ADDENDA <Act No. 9625, Apr. 22, 2009>
부칙 <제9784호, 2009. 6. 9.>
ADDENDA <Act No. 9784, Jun. 9, 2009>
부칙 <제10063호, 2010. 3. 12.>
ADDENDA <Act No. 10063, Mar. 12, 2010>
부칙 <제10303호, 2010. 5. 17.>
ADDENDA <Act No. 10303, May 17, 2010>
부칙 <제10361호, 2010. 6. 8.>
ADDENDA <Act No. 10361, Jun. 8, 2010>
부칙 <제10366호, 2010. 6. 10.>
ADDENDA <Act No. 10366, Jun 10, 2010>
부칙 <제10580호, 2011. 4. 12.>
ADDENDA <Act No. 10580, Apr. 12, 2011>
부칙 <제10629호, 2011. 5. 19.>
ADDENDA <Act No. 10629, May 19, 2011>
부칙 <제10866호, 2011. 7. 21.>
ADDENDA <Act No. 10866, Jul. 21, 2011>
부칙 <제10924호, 2011. 7. 25.>
ADDENDA <Act No. 10924, Jul. 25, 2011>
부칙 <제11040호, 2011. 8. 4.>
ADDENDA <Act No. 11040, Aug. 4, 2011>
부칙 <제11758호, 2013. 4. 5.>
ADDENDA <Act No. 11758, Apr. 5, 2013>
부칙 <제11845호, 2013. 5. 28.>
ADDENDA <Act No. 11845, May 28, 2013>
부칙 <제12102호, 2013. 8. 13.>
ADDENDA <Act No. 12102, Aug. 13, 2013>
부칙 <제12383호, 2014. 1. 28.>
ADDENDA <Act No. 12383, Jan. 28, 2014>
부칙 <제12892호, 2014. 12. 30.>
ADDENDA <Act No. 12892, Dec. 30, 2014>
부칙 <제12947호, 2014. 12. 30.>
ADDENDA <Act No. 12947, Dec. 30, 2014>
부칙 <제13448호, 2015. 7. 24.>
ADDENDA <Act No. 13448, Jul. 24, 2015>
부칙 <제13453호, 2015. 7. 31.>
ADDENDA <Act No. 13453, Jul. 31, 2015>
부칙 <제13782호, 2016. 1. 19.>
ADDENDA <Act No. 13782, Jan. 19, 2016>
부칙 <제14075호, 2016. 3. 18.>
ADDENDA <Act No. 14075, Mar. 18, 2016>
부칙 <제14096호, 2016. 3. 22.>
ADDENDA <Act No. 14096, Mar. 22, 2016>
부칙 <제14129호, 2016. 3. 29.>
ADDENDA <Act No. 14129, Mar. 29, 2016>
부칙 <제14130호, 2016. 3. 29.>
ADDENDA <Act No. 14130, Mar. 29, 2016>
부칙 <제14242호, 2016. 5. 29.>
ADDENDA <Act No. 14242, May 29, 2016>
부칙 <제14458호, 2016. 12. 20.>
ADDENDA <Act No. 14458, Dec. 20, 2016>
부칙 <제14817호, 2017. 4. 18.>
ADDENDA <Act No. 14817, Apr. 18, 2017>
부칙 <제14827호, 2017. 4. 18.>
ADDENDA <Act No. 14827, Apr. 18, 2017>
부칙 <제15021호, 2017. 10. 31.>
ADDENDUM <Act No. 15021, Oct. 31, 2017>
부칙 <제15022호, 2017. 10. 31.>
ADDENDA <Act No. 15022, Oct. 31, 2017>
부칙 <제15549호, 2018. 3. 27.>
ADDENDUM <Act No. 15549, Mar. 27, 2018>
부칙 <제16191호, 2018. 12. 31.>
ADDENDA <Act No. 16191, Dec. 31, 2018>
부칙 <제16657호, 2019. 11. 26.>
ADDENDUM <Act No. 16657, Nov. 26, 2019>
부칙 <제16859호, 2019. 12. 31.>
ADDENDA <Act No. 16859, Dec. 31, 2019>
부칙 <제16957호, 2020. 2. 4.>
ADDENDA <Act No. 16957, Feb. 4, 2020>
부칙 <제16958호, 2020. 2. 4.>
ADDENDA <Act No. 16958, Feb. 4, 2020>
부칙 <제16998호, 2020. 2. 11.>
ADDENDA <Act No. 16998, Feb. 11, 2020>
부칙 <제17112호, 2020. 3. 24.>
ADDENDA <Act No. 17112, Mar. 24, 2020>
부칙 <제17219호, 2020. 4. 7.>
ADDENDA <Act No. 17219, Apr. 7, 2020>
부칙 <제17295호, 2020. 5. 19.>
ADDENDUM <Act No. 17295, May 19, 2020>
부칙 <제17764호, 2020. 12. 29.>
ADDENDA <Act No. 17764, Dec. 29, 2020>
부칙 <제17799호, 2020. 12. 29.>
ADDENDA <Act No. 17799, Dec. 29, 2020>
부칙 <제17805호, 2020. 12. 29.>
ADDENDUM <Act No. 17805, Dec. 29, 2020>
부칙 <제17879호, 2021. 1. 5.>
ADDENDA <Act No. 17879, Jan. 5, 2021>
부칙 <제18128호, 2021. 4. 20.>
ADDENDA <Act No. 18128, Apr. 20, 2021>
부칙 <제18228호, 2021. 6. 8.>
ADDENDA <Act No. 18228, Jun. 8, 2021>
부칙 <제18585호, 2021. 12. 21.>
ADDENDA <Act No. 18585, Dec. 21, 2021>
부칙 <제18661호, 2021. 12. 28.>
ADDENDA <Act No. 18661, Dec. 28, 2021>
부칙 <제19211호, 2022. 12. 31.>
ADDENDA <Act No. 19211, Dec. 31, 2022>
부칙 <제19263호, 2023. 3. 21.>
ADDENDA <Act No. 19263, Mar. 21, 2023>
부칙 <제19438호, 2023. 6. 13.>
ADDENDUM <Act No. 19438, Jun. 13, 2023>
부칙 <제19566호, 2023. 7. 18.>
ADDENDA <Act No. 19566, Jul. 18, 2023>