What public compliance information is shown for 三菱ＵＦＪモルガン・スタンレー証券株式会社?

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 三菱ＵＦＪモルガン・スタンレー証券株式会社 is risk-free?

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Japanese original

三菱ＵＦＪモルガン・スタンレー証券株式会社

三菱ＵＦＪモルガン・スタンレー証券株式会社· Corporate Number: 4010001129098

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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

The officers and employees recognized that they were prohibited from sharing information or had not obtained consent to share information with the parent corporation, Mitsubishi UFJ Bank Ltd., and Morgan Stanley MUFG Securities Co., Ltd., and engaged in at least 13 instances of transmitting and sharing non-public information regarding corporate clients within the company. Additionally, some non-public information received from MUBK was personally received by the company's then-vice president and representative director, who also solicited the conclusion of underwriting contracts.

14 Jun 2024Securities and Exchange Surveillance Commission

Open source archive Check original source

Language

日本語版を見る (Japanese)

Registry data

English name: 三菱ＵＦＪモルガン・スタンレー証券株式会社
Japanese name: 三菱ＵＦＪモルガン・スタンレー証券株式会社
Corporate Number: 4010001129098
Registered address: 東京都千代田区大手町１丁目９番２号
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

No official English name source is recorded. The original Japanese name is shown.

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