Enforcement record

Recommendation disclosure naming モルガン・スタンレーＭＵＦＧ証券株式会社

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

This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionGovernment disclosure14 June 2024

Action type

Recommendation

Law

Financial Instruments and Exchange Act

Authority

Securities and Exchange Surveillance Commission

Action date

14 June 2024

Current page: Enforcement record

This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.

Source verification

Public-source and preservation status

Publishing authority: Securities and Exchange Surveillance Commission
Official source URL: Recorded by RegBase
Entity match: Not confirmed; shown under the published name
Kiroku preservation: Completed archive verified; Captured: Jul 12, 2026, 02:51 PM JST

“Confirmed” means that RegBase matched this record to the cited public disclosure or entity under the stated checks. It does not verify the truth of the disclosure or guarantee the entity’s current status, creditworthiness, or any legal conclusion.

Open the official source links in the section below to review the original disclosure.

Action summary

Company: モルガン・スタンレーＭＵＦＧ証券株式会社Japanese only
Original: 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

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.

Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive

Original Securities and Exchange Surveillance Commission source (Japanese)Open preserved source and 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": "2026-10-10T18:38:50.312Z"
  },
  "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)

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