Enforcement record
Recommendation disclosure naming モルガン・スタンレーＭＵＦＧ証券株式会社
This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.
Action type
Recommendation
Law
Financial Instruments and Exchange Act
Authority
Securities and Exchange Surveillance Commission
Action date
14 June 2024
RegBase evidence report
Japanese public-record enforcement check
Saveable record of the published action, regulator source, source status, and review notes for internal compliance files.
- Report ID
- RB-EN-ENFORCEMENT-KINSHOHO-MORUGANS-202608200601
- Generated at
- 20 August 2026 at 15:01
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-morugansutanremufgzheng-quan-20240614
1. Review Summary
| Disclosure name | モルガン・スタンレーＭＵＦＧ証券株式会社 | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 14 June 2024 | Authority | Securities and Exchange Surveillance Commission |
| Law | Financial Instruments and Exchange Act | Action type | Recommendation |
| Source status | Preserved public-source archive recorded | ||
This report summarizes public Japanese government disclosure data held by RegBase. It is not a credit score, sanctions conclusion, legal opinion, or adverse-media determination. Confirm important decisions against the linked official Japanese source.
2. Published Information
| Published name | モルガン・スタンレーＭＵＦＧ証券株式会社 |
|---|
3. Enforcement Record
| Target name in disclosure | モルガン・スタンレーＭＵＦＧ証券株式会社 |
|---|---|
| Authority | Securities and Exchange Surveillance Commission (証券取引等監視委員会) |
| Law / action type | Financial Instruments and Exchange Act / Recommendation |
| Action / announcement date | Action: 14 June 2024 / Announcement: 12 March 2026 |
| English summary | 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. |
| Original Japanese text | 職員は、親法人等である三菱ＵＦＪモルガン・スタンレー証券株式会社との間において、法人顧客から情報共有を禁止されていること又は情報共有の同意を得ていないことを認識しながら、当該法人顧客に関する非公開情報の受領を少なくとも３回にわたって行い、これを当社内で共有していた。また、MUMSSから受領した非公開情報を利用して引受契約の締結にかかる勧誘を行っている。 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2024/2024/20240614-4.html |
| Source archive | https://kiroku.today/a/74f0384667hdju8f |
| Extraction / evidence timestamps | Extracted: 25 April 2026 at 08:26 / Evidence checked: 25 April 2026 at 08:26 / Archive captured: 12 July 2026 at 14:51 |
4. Business Location and Permit Details
No additional structured business-location or permit fields are recorded for this disclosure.
5. Other Confirmed Records for This Company
This report covers the single government disclosure shown on this page.
Reviewer Notes
| Reviewer | Team / company | ||
|---|---|---|---|
| Review purpose | |||
| Additional notes | |||
- □ Official source URL or archived source was checked.
- □ Corporate Number, address, or other identifiers were reviewed to avoid confusing similarly named entities.
- □ This document is understood as a public-record evidence file, not a credit decision or legal opinion.
Current page: Enforcement record
This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.
Free report
Save the disclosure record naming モルガン・スタンレーＭＵＦＧ証券株式会社
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Preserved evidence by Kiroku
Review the preserved source for モルガン・スタンレーＭＵＦＧ証券株式会社
Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.
For developers: JSON integration details
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Action summary
- Company
- モルガン・スタンレーＭＵＦＧ証券株式会社Japanese onlyOriginal: モルガン・スタンレーＭＵＦＧ証券株式会社
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- 14 June 2024
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
- Industry context
- 金融商品取引業
Violation
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.
Show original Japanese text
職員は、親法人等である三菱ＵＦＪモルガン・スタンレー証券株式会社との間において、法人顧客から情報共有を禁止されていること又は情報共有の同意を得ていないことを認識しながら、当該法人顧客に関する非公開情報の受領を少なくとも３回にわたって行い、これを当社内で共有していた。また、MUMSSから受領した非公開情報を利用して引受契約の締結にかかる勧誘を行っている。
Compliance context
MediumA regulator issued a recommendation or formal request for corrective action.
Financial markets law covering securities, investment services, disclosure, and market conduct.
Review the facts and follow-up status. This is usually less severe than a suspension or revocation, but still a public enforcement signal.
This context is an operational aid for review workflows, not a credit opinion or legal conclusion.
Evidence pack
- Extracted at
- 2026-04-24T23:26:39.329+00:00
- Evidence checked
- 2026-04-24T23:26:39.329+00:00
- Archive captured
- 2026-07-12T05:51:52.376015+00:00
Show audit JSON
{
"record": {
"id": "ce545866-2b8a-4c21-b231-0a9c19a1d970",
"url": "https://regbase.jp/en/enforcement/kinshoho-morugansutanremufgzheng-quan-20240614",
"company_name_original": "モルガン・スタンレーＭＵＦＧ証券株式会社",
"company_name_registry": null,
"corporate_number": null,
"law": {
"ja": "金融商品取引法",
"en": "Financial Instruments and Exchange Act"
},
"action_type": {
"ja": "勧告",
"en": "Recommendation"
},
"authority": {
"ja": "証券取引等監視委員会",
"en": "Securities and Exchange Surveillance Commission"
}
},
"entity_match": {
"status": "unresolved",
"confidence": 85,
"method": "nta_strict_name_nationally_unique",
"method_label": "nta_strict_name_nationally_unique",
"notes": "NTA full-download lookup found a nationally unique exact registered-name candidate (モルガン・スタンレーＭＵＦＧ証券株式会社). No Corporate Number was present in the disclosure, so this remains a likely match."
},
"review": {
"status": "unreviewed",
"label": "Machine extracted"
},
"compliance_context": {
"severity": "Medium",
"actionMeaning": "A regulator issued a recommendation or formal request for corrective action.",
"practicalNote": "Review the facts and follow-up status. This is usually less severe than a suspension or revocation, but still a public enforcement signal.",
"lawContext": "Financial markets law covering securities, investment services, disclosure, and market conduct."
},
"evidence": {
"recordUrl": "https://regbase.jp/en/enforcement/kinshoho-morugansutanremufgzheng-quan-20240614",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2024/2024/20240614-4.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/74f0384667hdju8f",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2024/2024/20240614-4.html",
"archiveCapturedAt": "2026-07-12T05:51:52.376015+00:00",
"extractedAt": "2026-04-24T23:26:39.329+00:00",
"translatedAt": "2026-05-01T06:44:06.296+00:00",
"evidenceCheckedAt": "2026-04-24T23:26:39.329+00:00",
"generatedAt": "2026-08-20T06:01:13.776Z"
},
"limitations": [
"RegBase aggregates public Japanese government disclosures and does not provide a credit opinion.",
"English summaries are provided for reference. The original Japanese source is authoritative.",
"Possible or unresolved entity matches should be manually verified before use in a decision."
]
}The original Japanese disclosure is the authoritative record. Use possible or unresolved matches only as leads for manual review.
Language
日本語版を見る (Japanese)About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.