YOON&YANG

Ju Yong Lee Partner

TEL 82 2 6003 7546
FAX 82 2 6003 7033
E-MAIL jylee@hwawoo.com

Ju Yong Lee is a partner at Yoon and Yang LLC, and his main practice areas include finance and capital markets.
Prior to joining Yoon & Yang, Mr. Lee has accumulated extensive experience at the Financial Supervisory Service where he handled diverse matters including banks and financial holding companies, specialized credit finance companies and savings banks, anti-money laundering, and digital finance. In particular, he is an expert in Financial Supervisory Service regulatory matters including financial company licenses/permits, financial company examinations & sanctions, and unfair trade investigation & accounting oversight. Mr. Lee provides various advice to domestic retail banks including Woori Bank, NongHyup Bank, Kookmin Bank, Shinhan Bank, and Hana Bank, not to mention advisory and litigation for specialized credit finance companies including Shinhan Card, Kookmin Card, and Woori Financial Capital, and foreign savings banks including Acuon Savings Bank, Pepper Savings Bank, and OSB Savings Bank. Mr. Lee also handles disclosures for publicly listed companies, IPOs, and listing eligibility reviews. financial institutions and corporations need and is achieving remarkable results in various significant litigations in the fields of M&A, commerce, finance, securities, and insurance.

Experience

2011-present Yoon & Yang LLC
2023-present Member, Petition Review Committee, KRX
2019-22 Member, KOSPI Market Listing Committee, KRX
2017-18 Commissioner, Dispute Settlement Deliberation Commission, Korea Exchange
2017 Legal Expert for Appropriateness Evaluation of Personal Information Unidentification Measures in Finance Sector, Korea Credit Information Services, Financial Security Institute
2010-11 Legal Affairs Office, Financial Supervisory Service
2008-10 Investigation Department 2 of the Financial Supervisory Service
2006-08 Enforcement Review Office, Financial Supervisory Service
2003-06 Non-bank Supervision Department, Financial Supervisory Service

Education

2017 Korea University School of Law, ES.EL Special Research Course
2006 Korea University Graduate School of Law, LL.M.
2003 Judicial Training and Research Institute
1998 Mokpo University College of Law, LL.B.

Representative Matters

[Financial Company Licenses/Permits]

Represented DS & Partner Co., Ltd. in handling the approval on the change in the major shareholder of Taurus Investment & Securities
Represented Green Cross Veterinary Products in handling the approval on the change in the major shareholder of Aju Asset Management
Represented Mugunghwa Trust in handling the approval on the change in the major shareholder of Hyundai Asset Management
Represented Capstone Asset Management in handling the approval on the registration of a public real estate fund
Advised Kukje Asset Management on the registration of a PEF (collective investment scheme)
Represented Sirius Investment in handling the approval of the registration of a new technology venture capital business
Handled the approval on the change in the major shareholder of Pepper Savings Bank
Represented SK Securities in handling the approval on the change in the major shareholder of MS Savings Bank
Represented Daily Funding and others in handling the registration of a P2P

[Financial Company Examinations & Sanctions]

Handled the response to a Financial Supervisory Service inspection on Bank “A”
Handled the response to a Financial Supervisory Service inspection on Securities Company “B”
Handled the response to a Financial Supervisory Service inspection on Card Company “C”
Handled the response to a Financial Supervisory Service inspection on Savings Bank “D”
Handled the response to a Financial Supervisory Service inspection on Credit Union “E”
Handled the response to a Financial Supervisory Service inspection on Non-Life Insurance Company “F”
Handled the response to a Financial Supervisory Service inspection on Life Insurance Company “G”

[Financial Consumer Protection]

Provided consulting regarding the Act on the Protection of Financial Consumers to Financial Holdings Company “A”
Provided consulting regarding the Act on the Protection of Financial Consumers to Bank “B”
Provided consulting regarding the Act on the Protection of Financial Consumers to Card Company “C”
Provided consulting regarding the Act on the Protection of Financial Consumers to Savings Bank “D”
Provided consulting services regarding the Act on the Protection of Financial Consumers to many other clients

[Financial Company Compliance]

Provided compliance consulting for Savings Bank “A”
Provided compliance consulting for Savings Bank “B”
Provided compliance consulting for Savings Bank “C”

[Listing Eligibility Reviews]

Represented GS-Tech Co., Ltd. in handling the review of the eligibility for listing on KRX
Represented BIEMT Co., Ltd. in handling the review of eligibility for listing on KRX
Represented Widwin Networks Co., Ltd. in handling the review of eligibility for listing on KRX
Represented CCS Chungbuk Cable TV System Co., Ltd. in handling the review of eligibility for listing on KRX

[Anti-Money Laundering]

Represented Bank “A” in responding to a Financial Supervisory Service inspection on a KYC violation
Represented Bank “B” in responding to a Financial Supervisory Service inspection on an STR violation
Provided consulting on anti-money laundering to Savings Bank “C”

[Financial Disputes & Litigation]

Represented Shinil Industrial Co., Ltd. in handling management disputes
Represented the Financial Supervisory Service in the civil case (so-called “Meat Loan Fraud” case)
Represented the Financial Supervisory Service in the civil case (so-called “‘KTENS Fraud” case)
Represented a Credit Union in the case on breach of the ceiling on loans to a certain borrower (acquittal)
Represented a company’s major shareholder on a prosecution for suspected use of material nonpublic information (acquittal)
Represented GeneMatrix Co., Ltd. in a securities class action (case resolved based on reconciliation)
Represented Tongbu Securities Co., Ltd. in a securities class action

Awards

Financial Services Commissioner Commendation (2018)
Financial Supervisory Service Governor Award (2005)

Publications

Korea Chapter, Fintech, International Comparative Legal Guides, Global Legal Group (Co-author, 2023-2024)
Korea Chapter, Anti-Money Laundering, Lexology Panoramic, Law Business Research (Co-author, 2024)
Korea Chapter, Anti-Money Laundering, Lexology Getting the Deal Through, Law Business Research (Co-author, 2023)
Bridging the gap, Asia Fintech Special Focus, International Financial Law Review (Co-author, 2017)
Accelerating growth, Asia-Pacific Fintech Special Focus, International Financial Law Review (Co-author, 2016)
The Financial Investment Services and Capital Markets Act - Articles 147-151 and 179, LAWnB Online Commentary (2015)
A Study on the Treatment of the Unclaimed Shares and the Prohibition of the Issuance of Bonds with Detachable Warrants, 61 Business Finance & Law, Seoul National University Center for Financial Law (Co-author, 2013)
Case Laws Regarding Anti-competitive Practices in the Securities Trading Area, Financial Supervision Service (Co-author, 2009)
Return of Short-term Trading Profits, Master’s thesis of Korea University Graduate School of Law (2006)