Report of Foreign Issuer (6-k)
September 20 2018 - 6:12AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form
6-K
Report of
Foreign Private Issuer
Pursuant to Rule
13a-16
or
15d-16
under
the Securities Exchange Act of 1934
For the month of September 2018
Commission File
No. 000-54189
MITSUBISHI UFJ FINANCIAL GROUP, INC.
(Translation of registrants name into English)
7-1,
Marunouchi
2-chome,
Chiyoda-ku
Tokyo
100-8330,
Japan
(Address of principal executive office)
Indicate by check mark whether the registrant files or
will file annual reports under cover of Form
20-F
or Form
40-F.
Form
20-F
X
Form
40-F
Indicate by check mark if the registrant is submitting the Form
6-K
in paper as permitted by Regulation
S-T
Rule 101(b)(1):
Indicate by check mark if the registrant is submitting the Form
6-K
in paper as permitted by Regulation
S-T
Rule 101(b)(7):
THIS REPORT ON FORM
6-K
SHALL BE DEEMED TO BE INCORPORATED BY
REFERENCE IN THE REGISTRATION STATEMENT ON FORM
F-3
(NO.
333-209455)
OF MITSUBISHI UFJ FINANCIAL GROUP, INC. AND TO BE A PART THEREOF FROM THE DATE ON WHICH THIS REPORT
IS FURNISHED TO THE U.S. SECURITIES AND EXCHANGE COMMISSION TO THE EXTENT NOT SUPERSEDED BY DOCUMENTS OR REPORTS SUBSEQUENTLY FILED WITH OR FURNISHED TO THE U.S. SECURITIES AND EXCHANGE COMMISSION.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned, thereunto duly authorized.
Date: September 20, 2018
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Mitsubishi UFJ Financial Group, Inc.
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By:
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/s/ Zenta Morokawa
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Name:
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Zenta Morokawa
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Title:
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Managing Director, Head of Documentation &
Corporate Secretary Department,
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Corporate Administration Division
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Mitsubishi UFJ Financial Group, Inc. (MUFG)
Mitsubishi UFJ Securities Holdings Co., Ltd.
Regarding the Tokyo Stock Exchange and Osaka Exchange announcements
pertaining to Mitsubishi UFJ Morgan Stanley Securities
Tokyo, September
20, 2018
Today, Tokyo Stock Exchange, Inc. and Osaka Exchange, Inc. announced penalties with respect to
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd., a consolidated subsidiary of MUFG.
MUFG accepts these announcements with sincerity
and will reflect deeply on our actions.
We sincerely apologize to our customers and other stakeholders for the inconvenience and concern
we have caused.
Going forward, MUFG will strive to thoroughly enforce strict compliance and internal controls across the entire group and
will work to regain the trust that has been lost as a result of this issue.
- End -
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