As commercial funds are concentrated in the stock market recently due to low-interest rates and real estate market regulations, and the impact on the investor's profit or loss is significant depending on the timing of the announcement of the contents of the securities trading due to the nature of the stock market, the risk of deviant behaviors by investment traders or investment brokers is increasing.

However, since the current Act can impose only imprisonment with labor for up to 5 years, fines up to 200 million won, or administrative fines up to 100 million won for unsound trading practices by investment traders or investment brokers under the current Act, it has been pointed out that there are limits to preventing and effectively sanctioning such unsound trading practices.

Therefore, this amendment aims to strengthen related regulations by allowing a penalty surcharge to be imposed along with punishment or administrative fine when an investment trader or investment broker obtains unfair profit through unsound trading practices (Article 428-2 newly inserted).

Article 48-2 (Penalty surcharges for unsound business practices) (1) Where an investment trader or investment broker violates Article 71, the Financial Services Commission may impose a penalty surcharge within the range of an amount equivalent to at least 3 times and up to 10 times the profits in property or avoided losses resulting from the violation.