자본시장법상 증권거래에 수반되는 전자적 자료의 보관·유지규정의 필요성에 대한 소고
Considering to Adopt FINRA Books and Records Rule in Korean Financial Investment Services and Capital Market Acts
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E-discovery will no doubt become an increasingly important aspect of international arbitration. Different legal cultures-all of which usefully nurture international disputes-may approach discovery of ESI very differently. However, recent two cases(Samsung v. Apple, Kolong v. Dupont), reveal about the Korean Corporations’ lack of understanding of U.S. e-discovery rules. There are another important rules in securities law area. The Financial Industry Regulatory Authority("FINRA") of the United States has announced newly approved books and records rules(Rules 2268, 4511, 4512, 4513, 4514, 4515, 5340 and 7440(a)(4)). In addition to consolidating and replacing existing requirements in NASD and NYSE rules, the new FINRA rules impose a number of significant additional requirements on FINRA members. By introducing books and records rule of the U.S’ securities regulatory area, the author tries to prevent Korean securities firms from doing legal mistake. Also the author insists to make similar standard of book and record rules for Korea.
Abstract
E-discovery will no doubt become an increasingly important aspect of international arbitration. Different legal cultures-all of which usefully nurture international disputes-may approach discovery of ESI very differently. However, recent two cases(Samsung v. Apple, Kolong v. Dupont), reveal about the Korean Corporations’ lack of understanding of U.S. e-discovery rules. There are another important rules in securities law area. The Financial Industry Regulatory Authority("FINRA") of the United States has announced newly approved books and records rules(Rules 2268, 4511, 4512, 4513, 4514, 4515, 5340 and 7440(a)(4)). In addition to consolidating and replacing existing requirements in NASD and NYSE rules, the new FINRA rules impose a number of significant additional requirements on FINRA members. By introducing books and records rule of the U.S’ securities regulatory area, the author tries to prevent Korean securities firms from doing legal mistake. Also the author insists to make similar standard of book and record rules for Korea.
참고문헌 (15)
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