문책경고제도의 운영에 대한 고찰

The Disciplinary Warning is one of the supervisory sanctions against officers of the financial institution. It is stipulated in the sanction’s regulation by the Financial Supervisory Commission (FSC). Its effect is restricting the concerned officer from being appointed as an officer during certain period as set forth in each regulation on supervision of relevant financial institutions. In the Banking Act, the FSC may have the Financial Supervisory Service (FSS) Governor take an appropriate measure such as issuing a warning where any officer of a financial institution intentionally violates this Act or any rules, orders, or instructions under this Act, or performs an act which seriously damages the sound operation of the financial institution. And the specific matters on the qualifications for officers of financial institutions shall be determined by the FSC. Here arise problems whether the FSC’s sanction’s regulation can stipulate the Disciplinary Warning in spite the Banking Act describes only a Warning and it is right or authorized for the Disciplinary Warning stipulated in the regulation to restrict the concerned officer from being appointed as an officer during certain period. This paper discusses the legal character and legal basis of the Disciplinary Warning in detail, suggest the some items of the concerned Financial Laws to be amended.