What public compliance information is shown for Morgan Stanley MUFG Securities Co., Ltd.?

RegBase shows public Japanese enforcement records, Corporate Number and registry context where available, original source links, entity-match signals, and related company signals derived from public records.

Does no listed enforcement record mean Morgan Stanley MUFG Securities Co., Ltd. is risk-free?

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Official

Morgan Stanley MUFG Securities Co., Ltd.

モルガン・スタンレーＭＵＦＧ証券株式会社· Corporate Number: 2011001046046

モルガン・スタンレーＭＵＦＧ証券株式会社は、東京都千代田区大手町に本店を置く企業である。2024年6月14日に金融商品取引法に関する公的処分を受けている。

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Public Record Summary

Actions in last 3 years: 1records
Actions in last year: 0records
Latest action: about 1 years ago
Total penalties: -

Enforcement and administrative action history

Financial Instruments and Exchange ActRecommendation

Confirmed entity match

Staff members, aware that they were prohibited from sharing information or had not obtained consent to share information with Mitsubishi UFJ Morgan Stanley Securities Co., Ltd., the parent company, received non-public information related to the corporate client at least three times and shared it within the company. Additionally, they used non-public information received from MUMSS to solicit the conclusion of underwriting contracts.

14 Jun 2024Securities and Exchange Surveillance Commission

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Language

日本語版を見る (Japanese)

Registry data

English name: Morgan Stanley MUFG Securities Co., Ltd.
Japanese name: モルガン・スタンレーＭＵＦＧ証券株式会社
Corporate Number: 2011001046046
Registered address: 東京都千代田区大手町１丁目９番７号大手町フィナンシャルシティサウスタワー
Status: Active

Note: This company may not have detailed gBizINFO data, or RegBase has not completed enrichment yet. The public sources below may contain supplemental registry information.

View on gBizINFO ↗View on National Tax Agency Corporate Number site ↗

gBizINFO: fetched 25 Apr 2026

Data sources

Breakdown by law

Financial Instruments and Exchange Act
1

Breakdown by action type

Recommendation
1

About this English name

Registered English name from gBizINFO (Japanese Government corporate registry).

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