Defendant Name: MUFG Securities EMEA plc

Defendant Type: Subsidiary of Public Company
Public Company Parent: Mitsubishi UFJ Financial Group, Inc.
SIC Code: 6726
CUSIP: 60682210

Initial Case Details

Legal Case Name In the Matter of MUFG Securities EMEA plc
First Document Date 06-Aug-2025
Initial Filing Format Administrative Action
File Number 3-22504
Allegation Type Broker Dealer

Violations Alleged

Other
• Section 15F(k) Exchange Act; Rules 15Fk-1(b)(2)(ii)-(iii), 15Fk-1(c)(2)(i)(C)-(D) Exchange Act

Resolutions

First Resolution Date 06-Aug-2025
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-103646 06-Aug-2025 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15F(l)(2) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On August 6, 2025, the SEC instituted administrative and cease-and-desist proceedings against MUFG Securities EMEA plc, stating: "For nearly three years after registration . . . while MUFG Securities EMEA was dealing in security-based swaps in the U.S. security-based swap market, it did not comply with certain requirements under the Exchange Act directly or through substituted compliance. MUFG Securities EMEA repeatedly violated certain SBSD capital recordkeeping, financial reporting, compliance, internal supervision and internal risk management requirements of the Exchange Act and rules thereunder. Moreover, in its application for registration as an SBSD filed with the Commission, MUFG Securities EMEA made untrue statements, including in certifications, regarding its development and implementation of policies and procedures to prevent these failures."
34-103646-s 06-Aug-2025 Administrative Summary
SEC Charges UK Security-Based Swap Dealer with Violating Laws for Dealing in U.S. Markets
On August 6, 2025, the SEC "announced settledcharges against MUFG Securities EMEA plc, a security-based swap dealer (“SBSD”)located in the United Kingdom and registered with the Commission as an SBSD, for repeatedly violating certain SBSD capital recordkeeping, financial reporting, compliance, internal supervision, and internal risk management requirements of the Exchange Act and rules thereunder."