Management Systems Law Enforcement

HYEYOON SON (ATTORNEY)

****, ********* ****, ***************, ** 22903 +1-434-***-**** ******@********.***

Korea Exchange (Stock and Derivatives Exchange in Korea) Seoul, the Republic of Korea Derivatives Trade Regulatory Enhancement Team of Derivatives Market/Attorney Jan/2015-July/2016

• Led the development of derivatives products after analyzing derivatives trading, performance, and various macro data; helped create a healthier market by alerting investors to the trading regulation.

• Developed a new method to facilitate the adjustment of price differentials between the foreign exchange spot market and the derivatives market in Korea by analyzing the difference in the legal nature of arbitrage trading in spot and futures markets.

• Given that many OTC swap transactions involve international counterparties, I engaged in close collaboration with foreign regulatory bodies. This included working with the U.S. Securities and Exchange Commission (SEC) and other global regulators to ensure compliance with cross-border regulations, particularly related to the Dodd-Frank Act and EMIR (European Market Infrastructure Regulation). My role often required me to assess regulatory changes that could impact OTC swap trading and ensure that the KRX adapted to these changes efficiently.

• ensured that all OTC swap transactions were compliant with both domestic and international regulations. This involved reviewing detailed swap documentation, including ISDA agreements, and ensuring that key legal terms were met, such as collateral packages, netting provisions, and enforceability of collateral across jurisdictions. Korea Exchange (Stock and Derivatives Exchange in Korea) Seoul, the Republic of Korea Market Surveillance and Regulation Team of Market Oversight Commission / Attorney Aug/2016- Now

• Identified suspicious stock manipulation in small medium companies and alerted them to establish transparent internal regulations and management systems.

• Detect allegations of unfair trading, conduct investigations into stock manipulation cases such as insider trading, purposely misuse of undisclosed information of corporate disclosures by analyzing cases sanctioned by the FINRA, and provide this to law enforcement agencies to ensure active investigations.

• Providing expert testimony in a legal dispute related to market manipulation by meticulously tracing down the U.S. Court precedents, SEC enforcements, U.S. sentencing Guidance Manual, and data analysis on the normal price, materiality, damage from the Korea Exchange. EDUCATION

Pusan National University Pusan, the Republic of Korea Juris Doctor, J.D. March/2011-Feb/2015

• Leadership experience: Officer of the Financial Law Association (May/2019~ Jun/2020)

• Legal training: Cheong-Hae (January/2018), Small enterprise Research Institute (July/2018) Korea University-Seoul Seoul, the Republic of Korea Bachelor of Arts: Department of English Language Education March/2003-Feb/2007

• Awarded High Honors (1st semester, 2004 / 2nd semester, 2004 1st semester, 2005)

• Study Abroad: Language Institute of University of British Columbia, CANADA (Octorber/2005-May/2006) ADDITIONAL INFORMATION

• Honored with “Commendation Reward” from the president of Korea Exchange (December/2023)

• Awarded LL.M. Sponsorship from Korea Exchange (September/2023)

• Korean Attorney (Korea Bar Association number:20467, October/2014~Now)

• Native in Korean, Fluent in English, Fluent in Japanese, Basic in Mandarin Chinese

• Golfer, Cellist, Singer, Reader, and Traveler, will take NEWYORK bar exam in July, 2025

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