금융위 소관규정/고시/공고/훈령 - 법령정보 - 정책마당 - 금융위원회

https://www.fsc.go.kr/po040200/86308?srchCtgry=&curPage=&srchKey=&srchText=&srchBeginDt=&srchEndDt=
Success
Service Enforcement - Investment Firm 25% Payment Processors 15%
Specialism Enforcement - Restrictive Order 85% Supervision 60%
2026-02-23 12:14:26 · ibielecka@vixio.com
ID
2898797
GUID
f44563e970142bba703eb1359491602c

Classification

Service
Enforcement - Investment Firm (25%)

Riverstone Asset Management is an investment firm, but the enforcement action concerns fund management personnel qualifications and collective investment operations, which are capital markets regulatory matters unrelated to payment services or payment handling.

Payment Processors (15%)

This update does not involve payment services, payment institutions, e-money, acquiring, or any other payments-specific function; it is purely capital markets enforcement.

Specialism
Enforcement - Restrictive Order (85%)

The FSC imposed a six-month partial suspension of business operations on Riverstone Asset Management, which is a formal enforcement action restricting specific activities without full licence revocation.

Supervision (60%)

Low confidence — requires human review. While the enforcement involves an asset management firm, the update does not clearly involve payment services or payment-specific regulations, making it tangential to payments compliance.

혁신적 금융, 포용적 금융, 신뢰받는 금융, 금융위원회 입니다.

금융위원회, 금융위

Pipeline Progress

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TITLE: South Korea's Financial Services Commission Issues Enforcement Action Against Riverstone Asset Management BODY: On February 23, 2026, the Financial Services Commission (FSC) of South Korea issued Financial Services Commission Notice No. 2026-165, announcing enforcement action against Riverstone Asset Management Co., Ltd. under Article 424(2) of the Capital Markets and Financial Investment Business Act. The FSC has imposed a partial suspension of business operations on Riverstone Asset Management for a period of six months. Specifically, the company is prohibited from establishing new funds and making additional contributions to existing funds under its general private collective investment business operations. The enforcement action was taken due to the company's violation of regulations prohibiting individuals who are not investment management personnel from managing collective investment assets. This breach contravenes Article 85(7) and Article 420(3) of the Capital Markets and Financial Investment Business Act. The enforcement action became effective on February 13, 2026. The measure restricts Riverstone Asset Management's ability to expand its fund offerings during the six-month suspension period, though it does not appear to prevent the company from managing existing funds or conducting other permitted business activities. The FSC's Asset Management Division is responsible for administering this enforcement action. REFERENCES: Financial Services Commission Notice No. 2026-165 (February 23, 2026): https://www.fsc.go.kr/
  • ✓ Scraped:2026-02-23 12:14:26
  • ✓ Created:2026-02-23 12:14:25
  • ✓ By:ibielecka@vixio.com (27)