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
Document Reference:
34-103646
Document Details
Legal Case Name
In the Matter of MUFG Securities EMEA plc
Document Name
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
Document Date
06-Aug-2025
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
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."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Compliance Related Independent Consultant
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Self Reporting to SEC
Monetary Penalties:
Civil Penalty
Individual:
$9,800,000.00
Shared:
