www.fsa.go.jp/sesc/news/c_2024/2024/20240614-4.html
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モルガン・スタンレーＭＵＦＧ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_2024/2024/20240614-4.html
About this page
This page reports on recommendations made by the Securities and Exchange Surveillance Commission against Morgan Stanley MUFG Securities based on inspection results. The company's employees improperly received and shared non-public information with a parent company despite customer prohibitions. Key examples include information about Company A's stock offering and Company B's acquisition being illegally provided through Mitsubishi UFJ Bank. Additionally, deficiencies in the company's management system for corporate-related information were identified, with over 30 cases of improper handling confirmed, including registration delays of up to nine months.
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