자본시장통합법상 투자권유대행인제도

According to the Korean Capital Market Consolidation Act, a financial investment business entity may entrust an investment solicitor. An investment solicitor is defined as an individual who offers valuable services that assist customers with their trading decisions. He can perform all functions of an introducing broker by soliciting orders for the purchase or sale of financial investment instruments but does not have the ability to accept money, securities, or property from customers, guarantee, or secure any trades or investment contracts. A person who fulfill the qualification requirements can work as an investment solicitor after his registration with the Financial Services Commission. He cannot avoid his suitability obligations and related duties such as the duty to explain whenever he introduces customers to trade with the financial investment business entity. In addition, he should neither make undue recommendations, use job-related information without justifiable cause for his own or a third party’s interest nor compensate for loss in connection with the trading of financial investment instruments. A financial investment business entity and/or an investment solicitor shall be liable for the damages inflicted upon ordinary investors by the solicitor’s violation of law. The Act provided for the presumption of the amount of the damages in order to help mitigate the suffered investor’s burdens related with litigations against the financial investment business entity.