www.fsa.go.jp/sesc/news/c_2024/2024/20240614-3.html

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三菱ＵＦＪモルガン・スタンレー証券株式会社に対する検査結果に基づく勧告について

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https://www.fsa.go.jp/sesc/news/c_2024/2024/20240614-3.html

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This page announces the Securities and Exchange Surveillance Commission's recommendation for administrative action against Mitsubishi UFJ Morgan Stanley Securities on June 14, 2024. The company inappropriately shared non-public customer information with its parent companies, Mitsubishi UFJ Bank and Morgan Stanley MUFG Securities, at least 13 times without customer consent. Additionally, inadequate management of corporate-related information was identified in at least 16 cases. Specific violations include unauthorized sharing of non-public information regarding Company A's stock offering and Company B's acquisition financing negotiations. The commission recommended administrative action based on these violations of the Financial Instruments and Exchange Act.