Enforcement record
Recommendation disclosure naming 三菱ＵＦＪモルガン・スタンレー証券株式会社
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
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, 02:52 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
- 三菱ＵＦＪモルガン・スタンレー証券株式会社Japanese onlyOriginal: 三菱ＵＦＪモルガン・スタンレー証券株式会社
- 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
Violation
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
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.
Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive
- Extracted at
- 2026-04-24T23:26:34.022+00:00
- Evidence checked
- 2026-04-24T23:26:34.022+00:00
- Archive captured
- 2026-07-12T05:52:31.008621+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": 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 (三菱ＵＦＪモルガン・スタンレー証券株式会社). 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-san-ling-ufjmorugansutanrezheng-quan-20240614",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2024/2024/20240614-3.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/57f04fac76hdjubs",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2024/2024/20240614-3.html",
"archiveCapturedAt": "2026-07-12T05:52:31.008621+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": "2026-10-10T18:39:22.580Z"
},
"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.