Report of Foreign Issuer (6-k)
October 17 2018 - 6:08AM
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 October 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IS FURNISHED TO THE U.S. SECURITIES AND EXCHANGE COMMISSION TO THE EXTENT NOT SUPERSEDED BY DOCUMENTS OR REPORTS SUBSEQUENTLY FILED WITH OR FURNISHED TO THE U.S. SECURITIES AND EXCHANGE COMMISSION.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: October 17, 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 Japan Securities Dealers Association announcement pertaining to
Mitsubishi UFJ Morgan Stanley Securities
Tokyo, October
17, 2018
Today, the Japan Securities Dealers Association announced a penalty (20 million yen) on
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd., a consolidated subsidiary of MUFG.
MUFG accepts this announcement with sincerity, and we humbly
apologize to our customers and other stakeholders for the great 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 -
Press contact:
Naokazu Matsuda
Public Relations Division
Tokyo/Head Office
Mitsubishi UFJ Financial Group, Inc.
T
+81-3-5218-1815
E
Naokazu_Matsuda@mufg.jp
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