{"id":9353,"date":"2025-01-07T05:49:45","date_gmt":"2025-01-06T20:49:45","guid":{"rendered":"https:\/\/www.sanctionlab.com\/?p=9353"},"modified":"2025-04-09T17:28:37","modified_gmt":"2025-04-09T08:28:37","slug":"%e7%be%8e-%ea%b8%88%ec%9c%b5%eb%8b%b9%ea%b5%ad-%ec%94%a8%ed%8b%b0%c2%b7ubs%c2%b7%eb%b0%94%ed%81%b4%eb%a0%88%ec%9d%b4%c2%b7%ec%a0%9c%ed%94%84%eb%a6%ac%ec%8a%a4-%eb%93%b1%ec%97%90-%ea%b7%9c%ec%a0%9c","status":"publish","type":"post","link":"https:\/\/www.sanctionlab.com\/?p=9353","title":{"rendered":"\u7f8e \uae08\uc735\ub2f9\uad6d, \uc528\ud2f0\u00b7UBS\u00b7\ubc14\ud074\ub808\uc774\u00b7\uc81c\ud504\ub9ac\uc2a4 \ub4f1\uc5d0 \uaddc\uc81c \uc704\ubc18 \ubc8c\uae08"},"content":{"rendered":"<p><strong>&lt;\uac1c\uc694&gt;<\/strong><br \/>\n\ubbf8\uad6d \uae08\uc735\uc0b0\uc5c5\uaddc\uc81c\uad6d(Financial Industry Regulatory Authority, FINRA)\uc740 \uc9c0\ub09c\ud574 \ub9d0 \uc81c\ud504\ub9ac\uc2a4(Jefferies), UBS \uc99d\uad8c(UBS Securities), \uc528\ud2f0\uadf8\ub8f9(Citigroup Global Markets), \ubc14\ud074\ub808\uc774\uc988(Barclays Capital) \ub4f1 \uc8fc\uc694 \uae08\uc735\uae30\uad00\uc5d0 \ub300\ud574 \uaddc\uc81c \uc704\ubc18 \ubc0f \uac10\ub3c5 \uc18c\ud640\uc744 \uc774\uc720\ub85c \ubc8c\uae08\uacfc \uc81c\uc7ac\ub97c \ubd80\uacfc\ud588\uc74c.<\/p>\n<p><strong>&lt;\uc138\ubd80\ub0b4\uc5ed&gt;<br \/>\n<\/strong>\ubbf8\uad6d \ud22c\uc790\uc740\ud589 <a href=\"https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2020066386503%20Jefferies%20LLC%20CRD%202347%20AWC%20gg.pdf\">\uc81c\ud504\ub9ac\uc2a4<\/a>\ub294 \uace0\uac1d\uc774 \uc9c1\uc811 \uc2dc\uc7a5\uc5d0 \uc811\uadfc\ud574 \uac70\ub798\ud558\ub294 \uacfc\uc815\uc5d0\uc11c \uc2a4\ud478\ud551(spoofing)\uacfc \uacc4\uce35\ud654(layering)\ub77c\ub294 \ubd88\ubc95 \uac70\ub798\ub97c \uac10\uc2dc\ud558\uc9c0 \ubabb\ud588\uc74c. \uc2a4\ud478\ud551\uc740 \ud5c8\uc704\ub85c \ub300\ub7c9\uc758 \ub9e4\uc218 \ub610\ub294 \ub9e4\ub3c4 \uc8fc\ubb38\uc744 \uc81c\ucd9c\ud55c \ub4a4 \uc774\ub97c \ube60\ub974\uac8c \ucde8\uc18c\ud558\uc5ec \uc2dc\uc7a5\uc758 \uac00\uaca9 \ud750\ub984\uc744 \uc65c\uace1\ud558\ub294 \ud589\uc704\ub85c, \ub2e4\ub978 \uac70\ub798\uc790\ub4e4\uc5d0\uac8c \uc798\ubabb\ub41c \uc2e0\ud638\ub97c \ubcf4\ub0b4 \uc720\ub9ac\ud55c \uc870\uac74\uc5d0\uc11c \uac70\ub798\ub97c \uc131\uc0ac\uc2dc\ud0a4\ub294 \uc218\ubc95\uc784. \uacc4\uce35\ud654\ub294 \uc5ec\ub7ec \ud5c8\uc704 \uc8fc\ubb38\uc744 \ub3d9\uc2dc\uc5d0 \ubc30\uce58\ud574 \uc2dc\uc7a5\uc758 \uc218\uc694\ub098 \uacf5\uae09\uc774 \ub9ce\uc544 \ubcf4\uc774\uac8c \ud558\uc5ec \uc778\uc704\uc801\uc73c\ub85c \uac00\uaca9\uc744 \uc6c0\uc9c1\uc774\ub294 \ubc29\ubc95\uc784. FINRA\ub294 \uc774\ub7ec\ud55c \uac10\ub3c5 \ubd80\uc2e4\ub85c \uc778\ud574 \uc81c\ud504\ub9ac\uc2a4\uc5d0 \uc57d 3\uc5b5 1600\ub9cc\uc6d0(21\ub9cc5000\ub2ec\ub7ec)\uc758 \ubc8c\uae08\uc744 \ubd80\uacfc\ud588\uc74c.<\/p>\n<p><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2022076156301%20UBS%20Financial%20Services%20Inc.%20CRD%208174%20AWC%20gg.pdf\">UBS\uc99d\uad8c<\/a>\uc740\u00a0<a href=\"https:\/\/www.federalregister.gov\/documents\/2004\/08\/06\/04-17571\/short-sales\">\uacf5\ub9e4\ub3c4 \uaddc\uc81c<\/a>(Regulation SHO)\ub97c \uc704\ubc18\ud558\uace0, 9\ub144\uc5d0 \uac78\uccd0 \uac10\ub3c5 \ubd80\uc2e4\ub85c \uc778\ud574 \uace0\uac1d \ubcf4\ud638\uc5d0 \uc2e4\ud328\ud588\uc74c. \uacf5\ub9e4\ub3c4 \uaddc\uc81c\ub294 \uacf5\ub9e4\ub3c4 \uac70\ub798\uc640 \ubbf8\uacb0\uc81c \uc0c1\ud0dc\ub97c \ubc29\uc9c0\ud558\uc5ec \uc2dc\uc7a5\uc758 \uacf5\uc815\uc131\uacfc \uc548\uc815\uc131\uc744 \uc720\uc9c0\ud558\uae30 \uc704\ud574 \ub9c8\ub828\ub41c \uaddc\uc815\uc784. \uc720\ube44\uc5d0\uc2a4\ub294 \uc774\ub7ec\ud55c \uc704\ubc18 \uc0ac\ud56d\uc73c\ub85c FINRA\ub85c\ubd80\ud130 \uc57d 36\uc5b57000\ub9cc\uc6d0(250\ub9cc\ub2ec\ub7ec)\uc758 \ubc8c\uae08\uc744 \ubd80\uacfc\ubc1b\uc558\uc74c.<\/p>\n<p><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2023080783201%20Citigroup%20Global%20Markets%2C%20Inc.%20CRD%20No.%207059%20AWC%20gg.pdf\">\uc528\ud2f0\uadf8\ub8f9<\/a>\uc740 \uc7a5\uc678\uac70\ub798(Over The Counter, OTC) \uc8fc\uc2dd \uc635\uc158 \uacc4\uc57d\uacfc \uad00\ub828\ud558\uc5ec \ucd08\uae30 \uc99d\uac70\uae08\uacfc \uc720\uc9c0 \uc99d\uac70\uae08\uc744 \uc801\uc808\ud788 \uc9d5\uc218\ud558\uc9c0 \uc54a\uc544 \uaddc\uc815\uc744 \uc704\ubc18\ud588\uc74c. \uc99d\uac70\uae08\uc740 \uac70\ub798\uc790\uac00 \ubc1c\uc0dd\ud560 \uc218 \uc788\ub294 \uc190\uc2e4 \uc704\ud5d8\uc744 \ubcf4\uc804\ud558\uae30 \uc704\ud574 \uac70\ub798 \uc804\uc5d0 \uc608\uce58\ud558\ub294 \uc790\uae08\uc744 \uc758\ubbf8\ud558\uba70, \ucd08\uae30 \uc99d\uac70\uae08\uc740 \uac70\ub798 \uac1c\uc2dc \uc2dc \ud544\uc694\ud55c \uae08\uc561\uc774\uace0 \uc720\uc9c0 \uc99d\uac70\uae08\uc740 \uac70\ub798 \uc911 \uc190\uc2e4\uc744 \ubc29\uc9c0\ud558\uae30 \uc704\ud574 \uc694\uad6c\ub418\ub294 \ucd5c\uc18c\ud55c\uc758 \uc794\uace0\uc784. \uc774\ub85c \uc778\ud574 FINRA\ub294 \uc528\ud2f0\uadf8\ub8f9\uc5d0 \uc57d 20\uc5b5 5800\ub9cc\uc6d0(140\ub9cc\ub2ec\ub7ec)\uc758 \ubc8c\uae08\uc744 \ubd80\uacfc\ud588\uc74c.<\/p>\n<p><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2020065101601%20Barclays%20Capital%20Inc.%20CRD%2019714%20AWC%20gg.pdf\">\ubc14\ud074\ub808\uc774\uc988<\/a>\ub294 \uace0\uac1d\uc758 \uc804\uc790 \uc8fc\uc2dd \uc8fc\ubb38\uc744 \ucc98\ub9ac\ud558\ub294 \uacfc\uc815\uc5d0\uc11c \ucd5c\uc120\uc9d1\ud589(best execution) \uc758\ubb34\ub97c \uc900\uc218\ud558\uc9c0 \uc54a\uc558\uc74c. \ucd5c\uc120\uc9d1\ud589 \uc758\ubb34\ub294 \uace0\uac1d\uc5d0\uac8c \uac00\ub2a5\ud55c \uac00\uc7a5 \uc720\ub9ac\ud55c \uac00\uaca9\uacfc \uc870\uac74\uc744 \uc81c\uacf5\ud574\uc57c \ud55c\ub2e4\ub294 \uaddc\uc815\uc73c\ub85c, \uace0\uac1d\uc758 \uc774\uc775\uc744 \ucd5c\uc6b0\uc120\uc73c\ub85c \uace0\ub824\ud574\uc57c \ud568. FINRA\ub294 \uc774\ub7ec\ud55c \uc704\ubc18 \uc0ac\ud56d\uc5d0 \ub300\ud574 \ubc14\ud074\ub808\uc774\uc988\uc5d0 \uc57d 29\uc5b5 4000\ub9cc\uc6d0(200\ub9cc\ub2ec\ub7ec)\uc758 \ubc8c\uae08\uc744 \ubd80\uacfc\ud588\uc74c.<\/p>\n<p><strong>&lt;\uc2dc\uc0ac\uc810&gt;<\/strong><br \/>\n\uc774\ubc88 FINRA\uc758 \uc81c\uc7ac\ub294 \uae08\uc735\uae30\uad00\ub4e4\uc774 \uaddc\uc815\uc744 \ucca0\uc800\ud788 \uc900\uc218\ud558\uace0, \ud22c\uc790\uc790 \ubcf4\ud638\ub97c \uc704\ud55c \uac15\ud654\ub41c \uac10\ub3c5 \uccb4\uacc4\ub97c \uc720\uc9c0\ud560 \ud544\uc694\uc131\uc744 \uac15\uc870\ud588\uc74c. \ud2b9\ud788, \uae08\uc735\uae30\uad00\uc758 \ubd88\ubc95 \uac70\ub798 \uac10\uc2dc\uc640 \uac10\ub3c5 \uc18c\ud640\uc740 \ud22c\uc790\uc790 \uc2e0\ub8b0\uc640 \uc2dc\uc7a5 \uc548\uc815\uc131\uc5d0 \uc9c1\uc811\uc801\uc778 \uc601\ud5a5\uc744 \ubbf8\uce60 \uc218 \uc788\uc74c\uc744 \ubcf4\uc5ec\uc90c.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>&lt;\uac1c\uc694&gt; \ubbf8\uad6d \uae08\uc735\uc0b0\uc5c5\uaddc\uc81c\uad6d(Financial Industry Regulatory Authority, FINRA)\uc740 \uc9c0\ub09c\ud574 \ub9d0 \uc81c\ud504\ub9ac\uc2a4(Jefferies), UBS \uc99d\uad8c(UBS Securities), \uc528\ud2f0\uadf8\ub8f9(Citigroup Global Markets), \ubc14\ud074\ub808\uc774\uc988(Barclays Capital) \ub4f1 \uc8fc\uc694 \uae08\uc735\uae30\uad00\uc5d0 \ub300\ud574 \uaddc\uc81c \uc704\ubc18 \ubc0f \uac10\ub3c5 \uc18c\ud640\uc744 \uc774\uc720\ub85c \ubc8c\uae08\uacfc \uc81c\uc7ac\ub97c \ubd80\uacfc\ud588\uc74c. &lt;\uc138\ubd80\ub0b4\uc5ed&gt; \ubbf8\uad6d \ud22c\uc790\uc740\ud589 \uc81c\ud504\ub9ac\uc2a4\ub294 \uace0\uac1d\uc774 \uc9c1\uc811 \uc2dc\uc7a5\uc5d0 \uc811\uadfc\ud574 \uac70\ub798\ud558\ub294 \uacfc\uc815\uc5d0\uc11c \uc2a4\ud478\ud551(spoofing)\uacfc \uacc4\uce35\ud654(layering)\ub77c\ub294 \ubd88\ubc95 \uac70\ub798\ub97c \uac10\uc2dc\ud558\uc9c0 \ubabb\ud588\uc74c. \uc2a4\ud478\ud551\uc740 \ud5c8\uc704\ub85c \ub300\ub7c9\uc758 \ub9e4\uc218 \ub610\ub294 \ub9e4\ub3c4 \uc8fc\ubb38\uc744 \uc81c\ucd9c\ud55c [&hellip;]<\/p>\n","protected":false},"author":17,"featured_media":9355,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[612,8],"tags":[1570,1568,1567,1569,301,58,43],"class_list":{"0":"post-9353","1":"post","2":"type-post","3":"status-publish","4":"format-standard","5":"has-post-thumbnail","7":"category-usa","8":"category-compliance","9":"tag-barclays","10":"tag-citi","11":"tag-finra","12":"tag-jefferies","13":"tag-ubs","14":"tag-58","15":"tag-43"},"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v26.8 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>\u7f8e \uae08\uc735\ub2f9\uad6d, \uc528\ud2f0\u00b7UBS\u00b7\ubc14\ud074\ub808\uc774\u00b7\uc81c\ud504\ub9ac\uc2a4 \ub4f1\uc5d0 \uaddc\uc81c \uc704\ubc18 \ubc8c\uae08 SanctionLab<\/title>\n<meta name=\"description\" content=\"\ubbf8\uad6d 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