07.08.2025 MUFG Securities EMEA fined $9.8m over longstanding compliance failures
Matthias Knab, Opalesque:

On August 6, 2025, the U.S. Securities and Exchange Commission (SEC) announced a settled enforcement action against MUFG Securities EMEA plc, a UK-based security-based swap dealer (SBSD) registered with the SEC. The firm agreed to pay a $9.8 million civil penalty and was censured for multiple violations of the U.S. Securities Exchange Act of 1934.

The core issu

Print