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After joining the Korea Exchange, Dr. Se Yong Um served in different positions as the Manager of the Legal Team, Listing Policy Team, Supervisory Division, Examination Division, Deliberation Division, etc., handling various issues on the legal matters, listing, unfair trade practices, corporate governance structure and others. Since 2005, he participated as a member of the TF (Task Force) of the Ministry of Fina nce and Economy for two years in enacting the Financial Investment Services and Capital Markets Act. Dr. Um has dealt with theories and acquired much practical experience on the regulations of listed corporations and the capital market by publishing a number of books on the Capital Markets Act and lecturing on them at Hankuk University of Foreign Studies Law School and Ajou University Law School, the Instit ute of Justice, and others.
After joining the Korea Exchange, Dr. Se Yong Um served in different positions as the Manager of the Legal Team, Listing Policy Team, Supervisory Division, Examination Division, Deliberation Division, etc., handling various issues on the legal matters, listing, unfair trade practices, corporate governance structure and others. Since 2005, he participated as a member of the TF (Task Force) of the Ministry of Fina nce and Economy for two years in enacting the Financial Investment Services and Capital Markets Act. Dr. Um has dealt with theories and acquired much practical experience on the regulations of listed corporations and the capital market by publishing a number of books on the Capital Markets Act and lecturing on them at Hankuk University of Foreign Studies Law School and Ajou University Law School, the Instit ute of Justice, and others.
• Past) Korea Exchange (KRX) – Legal Team Manager, Listing Policy Team Manager (1987 - 2002)
• Past) National Assembly, Legislative Support Committee – Member (Finance and Economy Sector) (2003 - 2005)
• Past) Ministry of Finance and Economy – TF Member to Enact the Financial Investment Services and Capital Markets Act (2005 - 2007)
• Past) Korea Exchange (KRX) – Manager of the Supervisory Division, Member Firm Regulatory Division, Deliberation Division, and Examination Division (2009 - 2019)
• Past) Seoul Western District Court, Busan District Court – Conciliation Commissioner for Civil Disputes (2013 - 2015)
• Past) Hankuk University of Foreign Studies Law School and Ajou University Law School – Lecturer (on Financial Investment Services and Capital Markets Act and Electronic Financial Transactions Act) (2013 - 2018)
• Past) Institute of Justice, Seoul National University Center for Financial Law – Lecturer (2015 - 2017)
• Current) Legal Advisor, Biozentech Co., Ltd.
• Current) Co-Writer of Adjustment of Financial Investment Services and Capital Markets Act, LAWnB OnJu Korea
• Current) Director, Korea Securities Law Association
• Current) Lecturer (Asset Management Professional Course), Training Institute, Korea Association of Real Estate Investment Trust
• Current) National Assembly, Legislative Support Committee – Member (Political Affairs Division) (2023 - Present)
• Current) LIN
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• Advised on technology special listing (technology evaluation) (Company Y, Company C, and Company E, etc.)
• Advised on responding to insincerity notice of listed companies (Company W, Company L, and Company M, etc.)
• Advised Company L listed on KOSPI in response to short selling
• Advised Company S listed on KOSDAQ in response to price manipulation
• Advised Company K listed on in response to the use of non-public information
• Advised Company J listed on KOSDAQon registration of securities related to capital increase for value
• Advised Company B, whose technology was specially listed, on ways to respond to withdrawal from a clinical trial
• Advised a foreign company U on the use of undisclosed information
• Advised an asset management company U on the Capital Markets Act, including the scope of investment brokerage and investment advisory business, and disclosure issues
• Advised an investment advisory firm P on, inter alia, the establishment and operation of a real estate platform
• Advised on the Capital Markets Act in connection with incomplete sales of private equity funds (H securities, L insurance, etc.)
• Advised on the Capital Markets Act in connection with a litigation related to investment in asset-backed securities (ABCP) of H securities
• Advised a foreign asset management company A on shareholder activities
• Advised Company R on the registration of investment advisory business
• Research on Establishing Strategies for Building Open Innovation in SMEs, Korea University Financial Law Center (joint research), (2021. 1)
• Legal consulting on the Enforcement Decree of the SME Technology Innovation Promotion Act, Korea Technology Finance Corporation (research project), (2021. 7)
• Legal Review for Connected Utilization of Data on Social Integration Indicators, Ministry of Education (research project), (2022. 3)
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• Korea Exchange, Chairman’s Award (3 times) (February 1996, February 2000, March 2003)
• Ministry of Finance and Economy, Minister’s Award (Recognized for his service in the financial industry, December 2000)
• Ministry of Finance and Economy, Minister’s Award (Recognized for his service in the financial industry, December 2006)
• Financial Services Commission, Chairman’s Award (December 2015)
• Korea University, Department of Law
• The University of Edinburgh (UK) (LL.M.)
• University of Washington (Seattle, WA, U.S.) (Visiting Executive Program)
• Sogang University Graduate School (Ph.D. in Law)
• "Capital Markets Act", Jiwon Publishing House (co-author), (2009)
• “Capital Markets Act (2nd Ed.)”, Jiwon Publishing (Co-Author), (2015.)
• “Commentary on the Capital Markets Act I.” PAKYOUNGSA (Co-Author), (2015.)
• “The Issues of Unfair Trade Practices Relating to Securities.” Seoul National University Center for Financial Law, So Hwa Publishing (Editor), (2019.)
• “Online Commentary on the Capital Markets Act.” (the parts on short-sale regulations and Korea Exchange), LAWnB, (2019.)
• “A Study on the Unfair Trading relating to Market Price Under the Korean Capital Markets Law.” Ph.D. diss., Department of Law, Graduate School of Sogang University, (2017. 8)
• “A Comparative Study of Mandatory Offer in the UK and Obligatory Tender Offer in Korea: Underlying Principles, Structure & Function.” Master’s Thesis, University of Edinburgh, United Kingdom, (1998.)
• Legal Reforms to Improve Japan's Treasury Stock Acquisition Methods, BFL (Seoul National University Center for Financial Law), (2004. 3) (No. 4)
• Commentary on the Background of Improving Listing and Delisting Systems, including the Introduction of Customized Listing Requirements and Enhancement of Substantive Examination for Delisting, and Main Contents thereof, KRX Review, (Nov. 2008) (No. 45)
• Future-oriented Legislative Direction of the Financial Relations Act, National Assembly Report (Legislative Criticism), (2008. 10) (No. 503)
• Report on the Regulation and Operation of Short Selling in the Capital Market, BFL (Seoul National University Center for Financial Law), (2010. 9) (No. 43).
• Direction of ELS Regulation and Supervision in the Capital Market: Focusing on the “Guidelines on ELS Hedging Transactions”, YGBL (Yonsei Global Business Law Review), (2010. 12) (Vol. 2, No. 2)
• Report on Regulating Cyber Unfair Trade in the Capital Market, Business Law, (2012. 7) (Vol. 22, No. 4)
• A Comparative Study of Stock Purchase Right Laws and Directions for Improvement, Securities Law Review, (2013. 5) (Vol. 14, No. 2)
• “A Study on the Improvement Measures for Alternative Dispute Resolution and the Recovery of Damages from Illegal Activities.” The Korean Journal of Securities Law, Vol. 16, Part 1, (2015. 8)
• “A Study on the Regulations on and Evaluation of the Unfair Trade Practices Relating to the Underlying Assets of the Equity Linked Security.” BFL, Seoul National University Center for Financial Law, Vol. 80, (2016. 11)
• Evaluation of Market Manipulation and Disruptive Behavior Regulation on Fictitious Quotations, Securities Law Review, (2017. 8) (Vol. 18, No. 2)
• Utilization and Regulation of Voting Trusts in the Capital Markets, Securities Law Review (2018. 8) (Vol. 19, No. 2)
• Utilization and Regulation of Voting Trusts, KOSDAQ Journal (2018. 12) (VOL. 191)
• Domestic and International Case Studies on the Role of Statistics Authorities within the Data Convergence Management System (2020. 6 ~ 2020. 8)
• Necessity of Introducing Fair Fund and Legislative Direction, Policy Data Book of Byung Wook Kim, Member of the National Assembly Committee on Political Affairs (joint research), (2020. 10. 12)
• Analysis of Fair Fund Distribution Cases and Operational Direction, Securities Law Research (2020. 12) (Vol. 21, No. 3)
• A Study on Short Selling and Enhancing the Role of Acquiring Treasury Stocks by Listed Companies, Securities Law Review (2022. 8) (Vol. 23, No. 2)
• Analysis of the Structure of Mandatory Tender Offers and the Impact of M&A, Securities Law Review (2023. 4) (Vol. 24, No. 1)
• Capital Market Regulation
• Listing, Delisting, Disclosure, Sanctions, Unfair Trade Practices, Corporate Governance Structure
• Korean
• English
• Japanese (Reading)
| EXPERTISE |
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- Corporate (Corporate Governance)
- Listing & Listing Maintenance Advisory
- Finance・Insurance
- M&A・Private Equity
- Litigation (Civil and Criminal)
- Administrative Disputes and Litigation
- TMT・Data Security
- White Collar Defense and Investigations
- Tax
- GR
- Intellectual Property
- Entertainment・Sports
- Construction & Real Estate
- Insolvency & Restructuring
- Labor Law and Human Resources
- Serious Industrial Accidents
- Antitrust & Competition
- Product Liability・Certification・Recall
- Wealth Management
- Health Care
- Defense Industry
- Energy and Infrastructure
- Dealing with public sector audits
- Public Enterprises
- Registrations・Auctions
- International Practice
- Southeast Asia
- Latin America
- MEA
- Europe
- China
- Japan
- International Dispute Resolution
- International Transaction
- International Trade and Customs
- Overseas SOC Projects
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