Recommendation against Morgan Stanley MUFG Securities Co., Ltd.

モルガン・スタンレーＭＵＦＧ証券株式会社 (Financial Instruments and Exchange Act)

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionConfirmed entity match14 June 2024

For developers: integration details

You do not need this for normal browsing. Use it when integrating this enforcement record into an internal tool or AI workflow.

/api/v1/enforcements?corporate_number=2011001046046&limit=10

Open API response API docs

Action summary

Company: Morgan Stanley MUFG Securities Co., Ltd.Official
Original: モルガン・スタンレーＭＵＦＧ証券株式会社
Corporate Number: 2011001046046
Entity match: Confirmed entity match95/100Machine extracted
Normalized Japanese name matched to a company profile with Corporate Number
Matched by normalized Japanese company name to an enriched company profile with a Corporate Number.
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

Violation

Machine-translated summary — verify against original

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

Medium

A 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

Original Securities and Exchange Surveillance Commission announcement (Japanese)Archived source snapshot

Extracted at: 2026-04-24T23:26:39.329+00:00
Evidence checked: 2026-04-24T23:26:39.329+00:00
Archive captured: 2026-04-05T12:30:54.216+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": "モルガン・スタンレーＭＵＦＧ証券株式会社",
    "corporate_number": "2011001046046",
    "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": "confirmed",
    "confidence": 95,
    "method": "normalized_name_with_corporate_number",
    "method_label": "Normalized Japanese name matched to a company profile with Corporate Number",
    "notes": "Matched by normalized Japanese company name to an enriched company profile with a Corporate Number."
  },
  "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",
    "archiveUrl": "https://kiroku.today/view/74f0384667lqpiol",
    "archiveCapturedAt": "2026-04-05T12:30:54.216+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": "2026-05-21T21:50:41.374Z"
  },
  "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)

Company info

English name: Morgan Stanley MUFG Securities Co., Ltd. Official
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

See company profile →

About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.