Report of Foreign Issuer (6-k)
February 09 2017 - 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 February 2017
Commission File
No. 000-54189
MITSUBISHI
UFJ FINANCIAL GROUP, INC.
(Translation of registrant’s 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):
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: February 9, 2017
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Mitsubishi UFJ Financial Group, Inc.
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By:
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/s/ Yasuo Matsumoto
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Name:
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Yasuo Matsumoto
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Title:
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Chief Manager, Documentation &
Corporate Secretary Department,
Corporate Administration Division
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Mitsubishi UFJ Financial Group, Inc.
Settlement with the UK Prudential Regulation Authority
Tokyo, February 9, 2017
—Two subsidiaries of Mitsubishi UFJ Financial Group, Inc. (“MUFG”), The Bank of
Tokyo-Mitsubishi UFJ, Ltd. (“BTMU”) and MUFG Securities EMEA plc (“MUS(EMEA)”) announced today that they have reached a settlement with the UK Prudential Regulation Authority (“PRA”), pursuant to which the subsidiaries
will make a payment of GBP26,775,000 in the aggregate (BTMU: GBP17,850,000; MUS(EMEA): GBP8,925,000).
The settlement relates to BTMU and
MUS(EMEA)’s failure to notify the PRA of BTMU’s discussions with the New York State Department of Financial Services (“DFS”) that culminated in a November 2014 consent order between BTMU and the DFS.
BTMU and MUS(EMEA) have cooperated fully and openly with the PRA throughout the investigation. BTMU and MUS(EMEA) express their regret for
these historic breaches. MUFG has taken decisive action to improve its information controls and intra-group communication on regulatory matters. MUFG is committed to conducting business with the highest levels of integrity and regulatory compliance
and to continuing to improve its policies and procedures.
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Contact:
Mitsubishi UFJ Financial Group
Corporate Communications
Division
Media Relations Office
81-3-3240-7651
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The Bank of Tokyo-Mitsubishi UFJ, Ltd.
Settlement with the UK Prudential Regulation Authority
Tokyo, February 9, 2017
—The Bank of Tokyo-Mitsubishi UFJ, Ltd. (“BTMU”) hereby announced that it has reached a
settlement with the UK Prudential Regulation Authority (“PRA”), pursuant to which it will make a payment of GBP17,850,000.
The
settlement relates to BTMU’s failure to notify the PRA of BTMU’s discussions with the New York State Department of Financial Services (“DFS”) that culminated in a November 2014 consent order between BTMU and the DFS.
BTMU has cooperated fully and openly with the PRA throughout the investigation. BTMU expresses its regret for these historic breaches.
Mitsubishi UFJ Financial Group, Inc. has taken decisive action to improve its information controls and intra-group communication on regulatory matters. BTMU is committed to conducting business with the highest levels of integrity and regulatory
compliance and to continuing to improve their policies and procedures.
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Contact:
Bank of Tokyo-Mitsubishi UFJ
Corporate Communications
Division
Media Relations Office
81-3-3240-2950
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