RegBase
日本語

Recommendation against MUFG Bank, Ltd.

株式会社三菱ＵＦＪ銀行 (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=5010001008846&limit=10
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Action summary

Company
MUFG Bank, Ltd.Official
Original: 株式会社三菱ＵＦＪ銀行
Corporate Number: 5010001008846
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 bank's officers and employees, while aware that they were prohibited from sharing information or had not obtained consent to share information with Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. (MUMSS), the parent company, engaged in the exchange of non-public information regarding corporate clients at least 10 times. It was also confirmed that, in some cases, the bank's senior executive officer personally provided some of the non-public information.

Show original Japanese text

当行の役職員は、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（MUMSS）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10回にわたって行っていた。なお、一部の非公開情報の提供に関しては、当行専務執行役員自らも提供している状況も認められた。

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
2026-04-24T23:26:59.803+00:00
Evidence checked
2026-04-24T23:26:59.803+00:00
Archive captured
2026-04-05T12:30:50.912+00:00
Show audit JSON
{
  "record": {
    "id": "79877ab2-f103-40e1-b440-c335b9e38d3d",
    "url": "https://regbase.jp/en/enforcement/kinshoho-san-ling-ufjyin-xing-20240614",
    "company_name_original": "株式会社三菱ＵＦＪ銀行",
    "company_name_registry": "株式会社三菱ＵＦＪ銀行",
    "corporate_number": "5010001008846",
    "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-ufjyin-xing-20240614",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2024/2024/20240614-2.html",
    "archiveUrl": "https://kiroku.today/view/8c0bb0cb00lqpg50",
    "archiveCapturedAt": "2026-04-05T12:30:50.912+00:00",
    "extractedAt": "2026-04-24T23:26:59.803+00:00",
    "translatedAt": "2026-05-01T06:44:17.509+00:00",
    "evidenceCheckedAt": "2026-04-24T23:26:59.803+00:00",
    "generatedAt": "2026-05-21T21:50:41.473Z"
  },
  "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
MUFG Bank, Ltd. Official
Japanese name
株式会社三菱ＵＦＪ銀行
Corporate Number
5010001008846
Registered address
東京都千代田区丸の内１丁目４番５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.