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日本語

Recommendation against 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 (Financial Instruments and Exchange Act)
Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionConfirmed entity match14 June 2024
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/api/v1/enforcements?corporate_number=4010001129098&limit=10
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Action summary

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

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.

Show original Japanese text

役職員は、親法人等である株式会社三菱ＵＦＪ銀行及びモルガン・スタンレーＭＵＦＧ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授受を少なくとも13回にわたって行い、これを当社内で共有していた。また、MUBKから受領した一部の非公開情報については、当社代表取締役副社長（当時）自らが受領し、引受契約の締結にかかる勧誘を行った。

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
2026-04-24T23:26:34.022+00:00
Evidence checked
2026-04-24T23:26:34.022+00:00
Archive captured
2026-04-05T12:30:55.474+00:00
Show audit JSON
{
  "record": {
    "id": "d2dc5e25-1faf-400e-8859-6ae1455741e1",
    "url": "https://regbase.jp/en/enforcement/kinshoho-san-ling-ufjmorugansutanrezheng-quan-20240614",
    "company_name_original": "三菱ＵＦＪモルガン・スタンレー証券株式会社",
    "company_name_registry": "三菱ＵＦＪモルガン・スタンレー証券株式会社",
    "corporate_number": "4010001129098",
    "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-san-ling-ufjmorugansutanrezheng-quan-20240614",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2024/2024/20240614-3.html",
    "archiveUrl": "https://kiroku.today/view/57f04fac76lqpjnt",
    "archiveCapturedAt": "2026-04-05T12:30:55.474+00:00",
    "extractedAt": "2026-04-24T23:26:34.022+00:00",
    "translatedAt": "2026-05-01T06:44:04.09+00:00",
    "evidenceCheckedAt": "2026-04-24T23:26:34.022+00:00",
    "generatedAt": "2026-05-20T22:55:53.240Z"
  },
  "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
三菱ＵＦＪモルガン・スタンレー証券株式会社 Japanese original
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
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.