金融庁、三菱ＵＦＪ銀と２証券に改善命令　顧客情報、違法に共有―経営陣含め責任明確化求める

　金融庁は２４日、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として、３社に対し金融商品取引法に基づく業務改善命令を出した。経営陣を含め責任の所在を明確にするよう求めたほか、再発防止のための法令順守体制強化などを盛り込んだ改善計画を７月２４日までに提出するよう命じた。
　ＭＵＦＧと三菱ＵＦＪ銀には経営管理体制が不十分だったとして、銀行法に基づく報告徴求命令を出した。原因分析と改善策の報告を求めた。
　改善命令を受けたのは三菱ＵＦＪ銀、三菱ＵＦＪモルガン・スタンレー証券とモルガン・スタンレーＭＵＦＧ証券の３社。証券取引等監視委員会が１４日、３社に行政処分を科すよう金融庁に勧告していた。（2024/06/24-18:13）

Japan's Financial Services Agency issued business improvement orders to three companies under Mitsubishi UFJ Financial Group Inc. on Monday for illegally sharing information about customers without their consent.
   The orders were slapped on MUFG Bank, Mitsubishi UFJ Morgan Stanley Securities Co. and Morgan Stanley MUFG Securities Co. based on the financial instruments and exchange law. On June 14, the Securities and Exchange Surveillance Commission asked the FSA to impose administrative penalties on the three MUFG affiliates.
   The FSA also ordered the parent holding company and MUFG Bank to submit reports over the matter based on the banking business law.
   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, a rule known as firewall regulation.
   There were cases in which MUFG Bank and the two securities firms shared undisclosed information on a customer despite its requests not to do so. Also, MUFG Bank helped Mitsubishi UFJ Morgan Stanley Securities serve as an underwriter for its client company's bond issue although banks are prohibited from engaging in securities-related operations.