2024.06.23 21:02Nation

三菱UFJ銀などに改善命令へ 24日にも、親会社には報告徴求―金融庁

 三菱UFJフィナンシャル・グループ(MUFG)傘下の三菱UFJ銀行と証券会社2社が顧客の非公開情報をグループ内で違法に共有していたなどとして、証券取引等監視委員会から処分勧告されていた問題で、金融庁が24日にも、3社に対し金融商品取引法に基づく業務改善命令を出す方針を固めたことが23日、分かった。
 勧告対象ではない親会社MUFGに対しても、銀行法に基づく報告徴求命令を出し、原因の解明を求める方向だ。(2024/06/23-21:02)

2024.06.23 21:02Nation

3 MUFG Units to Get Biz Improvement Orders


Japan's Financial Services Agency plans to issue business improvement orders to three units of Mitsubishi UFJ Financial Group Inc. as early as Monday, including for illegally sharing information about customers without their consent, it was learned Sunday.
   MUFG Bank, Mitsubishi UFJ Morgan Stanley Securities Co. and Morgan Stanley MUFG Securities Co. will get the orders based on the financial instruments and exchange law.
   The FSA also plans to order the parent company to submit reports to figure out why the problems occurred based on the banking law.
   On June 14, Japan's Securities and Exchange Surveillance Commission recommended that the FSA impose administrative penalties on the three MUFG units.
   The financial instruments and exchange law prohibits banks and securities firms within the same group from sharing undisclosed information about customers without obtaining their permission. This is known as the firewall regulation.

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