SEC Info℠  
    Home      Search      My Interests      Help      Sign In      Please Sign In

MUFG Investor Services (US) LLC – ‘TA-1/A’ on 4/19/24

On:  Friday, 4/19/24, at 2:32pm ET   ·   As of:  4/17/24   ·   Effective:  4/27/24   ·   Accession #:  913181-24-3   ·   File #:  84-05475

Previous ‘TA-1’:  ‘TA-1/A’ on 1/10/24   ·   Latest ‘TA-1’:  This Filing

Find Words in Filings emoji
 		  in    Show  and   ↓Hints

  As Of               Filer                 Filing    For·On·As Docs:Size

 4/17/24  MUFG Investor Services (US) LLC   TA-1/A      4/27/24    1:22K

Amendment to Application for Registration by a Transfer Agent   —   Form TA-1

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: TA-1/A      Amendment to Application for Registration by a      HTML     23K 
                Transfer Agent -- primary_doc.xml/4.5


        

This ‘TA-1/A’ Document is an XML Data File that may be rendered in various formats:

  Form TA-1    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Amendment to Application for Registration by a Transfer Agent
 

TA-1/A : Filer Information

Form Version X0405

Submission Contact Information

The registrant may provide a single e-mail address for contact purposes.

1(f)(i). Contact Name:
1(f)(ii). Contact Phone Number:
1(f)(iii). Contact E-Mail Address:

Notification Information

The registrant may provide additional e-mail addresses for those persons the filer would like to receive notification e-mails regarding the filing.

1(g). Notification E-mail Address:

TA-1/A : Registrant Information

3(c). Address of principal office where transfer agent activities are, or will be, performed:

7. Has registrant been engaged, or will it be engaged as a service company by a named transfer agent to perform transfer agent functions? radio button unchecked  Yes  radio button checked  No

TA-1/A : Independent, Non-Issuer Registrant Information

Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission. Those registrants who are not required to complete Question 8 should select "Not Applicable".

Section for Initial Registration and for Amendments Reporting Additional Persons.

Proprietor or other entity information Related to item 8 Record: 1

8(a)(i). Full Name
MUFG Fund Services (USA) LLC
8(a)(ii). Relationship Start Date
7/1/17
8(a)(iii). Title or Status
Sole Owner
8(a)(iv). Description of Authority
100% ownership of MUFG Investor Services
8(a)(v). Relationship End Date

9. Does any person or entity not named in the answer to Question 8:

9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant, or;…. radio button checked  Yes  radio button unchecked  No

Entity information Related to item 9(a) Record: 1

9(a)(i). Exact name of each person or entity:
Kelly Dudley
9(a)(ii). Description of the Agreement or other basis:
Interim Chief Compliance Officer of MUFG Investor Services (US) LLC

Entity information Related to item 9(a) Record: 2

9(a)(i). Exact name of each person or entity:
James Fisher
9(a)(ii). Description of the Agreement or other basis:
Chief Executive Officer of MUFG Investor Services (US) LLC

Entity information Related to item 9(a) Record: 3

9(a)(i). Exact name of each person or entity:
George Hall
9(a)(ii). Description of the Agreement or other basis:
Chief Risk Officer of MUFG Investor Services (US) LLC

Entity information Related to item 9(a) Record: 4

9(a)(i). Exact name of each person or entity:
MUFG Americas Holding Corporation
9(a)(ii). Description of the Agreement or other basis:
100% ownership stake in MUFG Fund Services (USA) LLC

Entity information Related to item 9(a) Record: 5

9(a)(i). Exact name of each person or entity:
MUFG Bank, Ltd.
9(a)(ii). Description of the Agreement or other basis:
95.11% ownership stake in MUFG Americas Holding Corporation

Entity information Related to item 9(a) Record: 6

9(a)(i). Exact name of each person or entity:
Mitsubishi UFJ Trust & Banking Corporation
9(a)(ii). Description of the Agreement or other basis:
Provides strategic planning for the Global MUFG Investor Services Division, including MUFG Investor Services (US) LLC

Entity information Related to item 9(a) Record: 7

9(a)(i). Exact name of each person or entity:
Mitsubishi UFJ Financial Group, Inc.
9(a)(ii). Description of the Agreement or other basis:
100% ownership stake in MUFG Bank, Ltd. and Mitsubishi UFJ Trust & Banking Corporation; 4.89% ownership stake in MUFG Americas Holding Corporation

Entity information Related to item 9(a) Record: 8

9(a)(i). Exact name of each person or entity:
Gregory Cohen
9(a)(ii). Description of the Agreement or other basis:
Head of Transfer Agent, MUFG Investor Services (US) LLC

Entity information Related to item 9(a) Record: 9

9(a)(i). Exact name of each person or entity:
Young Kim
9(a)(ii). Description of the Agreement or other basis:
Chief Financial Officer, MUFG Investor Services (US) LLC

Entity information Related to item 9(a) Record: 10

9(a)(i). Exact name of each person or entity:
Hiroshi Nakazawa
9(a)(ii). Description of the Agreement or other basis:
Chairman of the Board, MUFG Investor Services (US) LLC

Entity information Related to item 9(a) Record: 11

9(a)(i). Exact name of each person or entity:
Michael Scalzi
9(a)(ii). Description of the Agreement or other basis:
President, MUFG Investor Services (US) LLC

Entity information Related to item 9(a) Record: 12

9(a)(i). Exact name of each person or entity:
Jun Kawakubo
9(a)(ii). Description of the Agreement or other basis:
Board Manager of MUFG Investor Services (US) LLC
9(b). wholly or partially finance the business of the applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others?….. radio button unchecked  Yes  radio button checked  No

TA-1/A : 10. Applicant and Control Affiliate Disciplinary History

The following definitions apply for purposes of answering this Question 10

Control Affiliate- An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority.
Investment or investment related- Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association).
Involved- Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act.

10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contendere ("no contest") to:

10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting, or extortion? radio button unchecked  Yes  radio button checked  No
10(a)(2). any other felony? radio button unchecked  Yes  radio button checked  No
10(b). Has any court in the past ten years:
10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity? radio button unchecked  Yes  radio button checked  No
10(b)(2). found that the applicant or control affiliate was involved in a violation of investment-related statutes or regulations? radio button unchecked  Yes  radio button checked  No
10 (c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
10(c)(1). found the applicant or control affiliate to have made a false statement or omission? radio button unchecked  Yes  radio button checked  No
10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes? radio button checked  Yes  radio button unchecked  No

Entity information Related to item 10(c)(2) Record: 1

10(c)(2)(i). The individuals named in the Action
MUFG Securities Americas Inc. f.k.a. Mitsubishi UFJ Securities (USA) Inc.
10(c)(2)(ii). Title of Action
Docket/Case Number 3-17094
10(c)(2)(iii). Date of Action
2/2/16
10(c)(2)(iv). The Court or body taking the Action and its location
US Securities & Exchange Commission
10(c)(2)(v). Description of the Action
SEC alleged that Mitsubishi UFJ Securities (USA) Inc. ("MUS(USA)") violated Section 17(A)(2) of the Securities Act in connection with its underwriting of certain municipal securities offerings.
10(c)(2)(vi). The disposition of the proceeding
Without admitting or denying the findings, MUS(USA) consented to (1) cease and desist from further violations; (2) pay a civil monetary penalty of $20,000.

Entity information Related to item 10(c)(2) Record: 2

10(c)(2)(i). The individuals named in the Action
MUFG Securities Americas Inc.
10(c)(2)(ii). Title of Action
Docket/Case Number 3-18914
10(c)(2)(iii). Date of Action
12/10/18
10(c)(2)(iv). The Court or body taking the Action and its location
US Securities & Exchange Commission
10(c)(2)(v). Description of the Action
MUFG Securities Americas Inc. ("MUSA") allegedly submitted incomplete or deficient information in response to SEC electronic blue sheet (EBS) requests.
10(c)(2)(vi). The disposition of the proceeding
The Order requires that MUSA: 1. Cease and desist from committing or causing any violations and any future violations of Section 17(a)(1) of the Exchange Act; 2. Receive a censure; and 3. Pay a civil monetary fine of $1.4 million USD.

Entity information Related to item 10(c)(2) Record: 3

10(c)(2)(i). The individuals named in the Action
MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd.
10(c)(2)(ii). Title of Action
Docket/Case Number 17-21
10(c)(2)(iii). Date of Action
8/7/17
10(c)(2)(iv). The Court or body taking the Action and its location
Commodity Futures Trading Commission (CFTC)
10(c)(2)(v). Description of the Action
Bank of Tokyo-Mitsubishi UFJ, Ltd. ("BTMU") self-disclosed to the CFTC that one of its traders engaged in the disruptive trading practice of "spoofing" various futures products on designated contract markets in the US, in violation of Commodity Exchange Act Section 4C(A)(5).
10(c)(2)(vi). The disposition of the proceeding
BTMU consented to cease and desist from violating the Commodity Exchange Act's prohibition against spoofing, and was fined $600,000 USD.
10(c)(3). found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted? radio button unchecked  Yes  radio button checked  No
10(c)(4). entered an order denying, suspending or revoking the applicant’s or control affiliate’s registration or otherwise disciplined it by restricting its activities? radio button unchecked  Yes  radio button checked  No
10(d). Has any other Federal regulatory agency or any state regulatory agency :
10(d)(1). ever found the applicant or control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical? radio button unchecked  Yes  radio button checked  No
10(d)(2). ever found the applicant or control affiliate to have been involved in a violation of investment-related regulations or statutes? radio button checked  Yes  radio button unchecked  No

Entity information Related to item 10(d)(2) Record: 1

10(d)(2)(i). The individuals named in the Action
MUFG Securities Americas Inc. f.k.a. Mitsubishi UFJ Securities (USA) Inc.
10(d)(2)(ii). Title of Action
Docket/Case Number 13-011
10(d)(2)(iii). Date of Action
3/21/13
10(d)(2)(iv). The Court or body taking the Action and its location
Ohio Division of Securities
10(d)(2)(v). Description of the Action
Ohio Division of Securities alleged that Mitsubishi UFJ Securities (USA) Inc. ("MUS(USA)") had been operating as a securities dealer in the state of Ohio without an Ohio dealer's license.
10(d)(2)(vi). The disposition of the proceeding
MUS(USA) consented to cease and desist from further violations, and also agreed to disgorge the commissions and markups for all transactions made during the period.

Entity information Related to item 10(d)(2) Record: 2

10(d)(2)(i). The individuals named in the Action
MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd.
10(d)(2)(ii). Title of Action
Consent Order under New York Banking Law 39 and 44
10(d)(2)(iii). Date of Action
11/18/14
10(d)(2)(iv). The Court or body taking the Action and its location
New York State Department of Financial Services (NYDFS)
10(d)(2)(v). Description of the Action
NYDFS alleged that Bank of Tokyo-Mitsubishi UFJ, Ltd. ("BTMU") misled NYDFS in reaching settlement terms of a prior 2013 consent order. BTMU also allegedly failed to maintain accurate books at its NY Branch.
10(d)(2)(vi). The disposition of the proceeding
BTMU consented to pay a civil monetary penalty of $315 million USD. The NYDFS investigation led to the resignation from BTMU of the NY Branch Compliance Manager.

Entity information Related to item 10(d)(2) Record: 3

10(d)(2)(i). The individuals named in the Action
MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd.
10(d)(2)(ii). Title of Action
Consent Order under New York Banking Law 44
10(d)(2)(iii). Date of Action
6/19/13
10(d)(2)(iv). The Court or body taking the Action and its location
New York State Department of Financial Services (NYDFS)
10(d)(2)(v). Description of the Action
NYDFS alleged that Bank of Tokyo-Mitsubishi UFJ, Ltd. ("BTMU") committed violations of Economic Sanctions laws. The alleged violations were involving Iran, Sudan, Myanmar, and certain entities on OFAC's Specially Designated Nationals list.
10(d)(2)(vi). The disposition of the proceeding
BTMU consented to pay a civil monetary penalty of $250 million USD. BTMU also consented to hire an independent consultant, who will review its Compliance Program.

Entity information Related to item 10(d)(2) Record: 4

10(d)(2)(i). The individuals named in the Action
MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd.
10(d)(2)(ii). Title of Action
Enforcement Action for 12/12/12
10(d)(2)(iii). Date of Action
12/12/12
10(d)(2)(iv). The Court or body taking the Action and its location
Office of Foreign Asset Control (OFAC)
10(d)(2)(v). Description of the Action
OFAC alleged that Bank of Tokyo-Mitsubishi UFJ, Ltd. ("BTMU") violated the Burmese Sanctions Regulations, 31 CFR part 537; the Iranian Transactions Regulations, 31 CFR part 560; and Executive Order 13382.
10(d)(2)(vi). The disposition of the proceeding
BTMU consented to pay a civil monetary penalty of $8,571,634 USD. BTMU also consented to undertake significant remediation to improve its OFAC compliance policies and procedures.

Entity information Related to item 10(d)(2) Record: 5

10(d)(2)(i). The individuals named in the Action
MUFG Bank, Ltd.
10(d)(2)(ii). Title of Action
Consent Order #2019-004
10(d)(2)(iii). Date of Action
2/22/19
10(d)(2)(iv). The Court or body taking the Action and its location
Office of the Comptroller of the Currency (OCC)
10(d)(2)(v). Description of the Action
The OCC found that the New York, Chicago, and Los Angeles branches of MUFG Bank, Ltd. had deficiencies in their Bank Secrecy Act compliance programs.
10(d)(2)(vi). The disposition of the proceeding
The order requires the MUFG Bank, Ltd. branches to take comprehensive corrective actions to improve their Bank Secrecy Act and anti-money laundering compliance programs.

Entity information Related to item 10(d)(2) Record: 6

10(d)(2)(i). The individuals named in the Action
Mitsubishi UFJ Financial Group, Inc. & MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd.
10(d)(2)(ii). Title of Action
Docket/Case Number 06-028 WA/RB (Fed/NYS Banking Dept)
10(d)(2)(iii). Date of Action
12/18/06
10(d)(2)(iv). The Court or body taking the Action and its location
Federal Reserve Board, NY State Banking Dept., & Federal Deposit Insurance Corp.
10(d)(2)(v). Description of the Action
The joint release order determined that Bank of Tokyo-Mitsubishi UFJ, Ltd. failed to implement adequate Bank Secrecy Act and anti-money laundering compliance programs.
10(d)(2)(vi). The disposition of the proceeding
Mitsubishi UFJ Financial Group, Inc entered into a written agreement with the Federal Reserve Banks of SF and NY, and the NY State Banking Dept. Bank of Tokyo-Mitsubishi UFJ, Ltd. consented to an order to cease and desist issued by the FDIC.

Entity information Related to item 10(d)(2) Record: 7

10(d)(2)(i). The individuals named in the Action
MUFG Bank, Ltd.
10(d)(2)(ii). Title of Action
Docket/Case # 1:17-CV-08691
10(d)(2)(iii). Date of Action
6/24/19
10(d)(2)(iv). The Court or body taking the Action and its location
New York State Department of Financial Services (NYDFS)
10(d)(2)(v). Description of the Action
Following MUFG Bank, Ltd.'s (MUFGBK) conversion of its state banking licenses issued by NYDFS to federal banking licenses issued by the Office of the Comptroller of the Currency (OCC) in November 2017, NYDFS issued an order asserting continuing regulatory authority over MUFGBK. MUFGBK thus filed a lawsuit seeking a declaration that NYDFS did not have continuing authority over it. In response, NYDFS filed counterclaims against MUFGBK under banking and related laws.
10(d)(2)(vi). The disposition of the proceeding
Under the terms of the settlement, MUFGBK and NYDFS released all of their claims against each other, NYDFS agreed not to challenge the validity of the licenses issued by the OCC, and MUFGBK agreed to make a $33m settlement payment.
10(d)(3). ever found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business Denied, suspended, revoked or restricted? radio button unchecked  Yes  radio button checked  No
10(d)(4). in the past ten years entered an order against the applicant or control affiliate in connection with investment-related activity? radio button unchecked  Yes  radio button checked  No
10(d)(5). ever denied, suspended, or revoked applicant’s or control affiliate’s registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities? radio button unchecked  Yes  radio button checked  No
10(d)(6). ever revoked or suspended the applicant’s or a control affiliate’s license as an attorney or accountant? radio button unchecked  Yes  radio button checked  No

10(e). Has any self-regulatory organization or commodities exchange ever:
10(e)(1). found the applicant or a control affiliate to have made a false statement or omission? radio button unchecked  Yes  radio button checked  No
10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? radio button checked  Yes  radio button unchecked  No

Entity information Related to item 10(e)(2) Record: 1

10(e)(2)(i). The individuals named in the Action
MUFG Securities Americas Inc. f.k.a. Mitsubishi UFJ Securities (USA) Inc.
10(e)(2)(ii). Title of Action
Docket/Case Number 2007008490201
10(e)(2)(iii). Date of Action
3/4/09
10(e)(2)(iv). The Court or body taking the Action and its location
Financial Industry Regulatory Authority, Inc.
10(e)(2)(v). Description of the Action
Mitsubishi UFJ Securities (USA) Inc. ("MUS(USA)") allegedly permitted an employee to perform certain functions requiring principal registration while he was not registered with FINRA in that capacity.
10(e)(2)(vi). The disposition of the proceeding
Without admitting or denying the findings, MUS(USA) consented to the described sanctions and to entry of findings; therefore, the firm is censured and fined $15,000 USD.

Entity information Related to item 10(e)(2) Record: 2

10(e)(2)(i). The individuals named in the Action
MUFG Securities Americas Inc. f.k.a. Mitsubishi UFJ Securities (USA) Inc.
10(e)(2)(ii). Title of Action
Docket/Case Number 2006005325701
10(e)(2)(iii). Date of Action
7/11/07
10(e)(2)(iv). The Court or body taking the Action and its location
Financial Industry Regulatory Authority, Inc. f.k.a. NASD
10(e)(2)(v). Description of the Action
The National Association of Securities Dealers ("NASD") alleged that Mitsubishi UFJ Securities (USA) Inc. ("MUS(USA)") failed to report to the trade reporting and compliance engine (TRACE) the lower of yield to call or yield to maturity for TRACE-eligible securities. MUS(USA) failed to enforce its written supervisory procedures.
10(e)(2)(vi). The disposition of the proceeding
Without admitting or denying the findings, MUS(USA) consented to the described sanctions and to the entry of findings; therefore, the firm was censured and fined $10,000 USD.
10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business? radio button unchecked  Yes  radio button checked  No
10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities? radio button unchecked  Yes  radio button checked  No
10(f). Has any foreign government, court, regulatory agency or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud? radio button checked  Yes  radio button unchecked  No

Entity information Related to item 10(f) Record: 1

10(f)(i). The individuals named in the Action
MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd.
10(f)(ii). Title of Action
JFSA Administrative Order
10(f)(iii). Date of Action
11/13/09
10(f)(iv). The Court or body taking the Action and its location
Japan Financial Services Agency (JFSA)
10(f)(v). Description of the Action
The JFSA noted that there were deficiencies in the compliance management programs at certain Bank of Tokyo-Mitsubishi, Ltd. ("BTMU") branches.
10(f)(vi). The disposition of the proceeding
An administrative order was issued for business improvement and partial business suspension in respect to compliance management issues at certain BTMU branches.

Entity information Related to item 10(f) Record: 2

10(f)(i). The individuals named in the Action
MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd.
10(f)(ii). Title of Action
JFSA Administrative Order
10(f)(iii). Date of Action
9/11/09
10(f)(iv). The Court or body taking the Action and its location
Japan Financial Services Agency (JFSA)
10(f)(v). Description of the Action
The JFSA noted that there were deficiencies in Bank of Tokyo-Mitsubishi, Ltd. ("BTMU") overseas business and domestic investment operations.
10(f)(vi). The disposition of the proceeding
An administrative order was issued for business improvement with respect to BTMU overseas business and domestic investment operations.

Entity information Related to item 10(f) Record: 3

10(f)(i). The individuals named in the Action
MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd. & MUFG Securities EMEA PLC
10(f)(ii). Title of Action
PRA Enforcement Order
10(f)(iii). Date of Action
2/9/17
10(f)(iv). The Court or body taking the Action and its location
Prudential Regulation Authority (PRA)
10(f)(v). Description of the Action
The PRA alleged that the Bank of Tokyo-Mitsubishi, Ltd. ("BTMU") and MUFG Securities EMEA PLC failed to be open and cooperative with the PRA in relation to an enforcement action into BTMU by the New York Department of Financial Services.
10(f)(vi). The disposition of the proceeding
The PRA imposed a fine of 17.85M GBP on BTMU and a fine of 8.925M GBP on MUFG Securities EMEA PLC.

Entity information Related to item 10(f) Record: 4

10(f)(i). The individuals named in the Action
MUFG Bank, Ltd.
10(f)(ii). Title of Action
Docket/Case Number AT.40135
10(f)(iii). Date of Action
5/16/19
10(f)(iv). The Court or body taking the Action and its location
European Commission
10(f)(v). Description of the Action
The European Commission, in a settlement decision, fined MUFG Bank, Ltd. (along with a number of other banks) for alleged violations of European Union anti-trust rules.
10(f)(vi). The disposition of the proceeding
The total fine issued by the European Commission was 1.07b euros. The portion required to be paid by MUFG Bank, Ltd. was 69.75m euros (approx. $77.865 USD).

Entity information Related to item 10(f) Record: 5

10(f)(i). The individuals named in the Action
MUFG Bank, Ltd.
10(f)(ii). Title of Action
Settlement with Competition Commission
10(f)(iii). Date of Action
6/6/19
10(f)(iv). The Court or body taking the Action and its location
Competition Commission (Switzerland)
10(f)(v). Description of the Action
Switzerland's Competition Commission concluded amicable settlements with several banks, including MUFG Bank, Ltd., and fined the banks for alleged participation in anti-competitive arrangements in foreign exchange spot trading.
10(f)(vi). The disposition of the proceeding
The total fine issued by Switzerland's Competition Commission against the banks was approx. CHF 90m, and the portion required to be paid by MUFG Bank, Ltd. was approx. CHF 1.5m.
10(g). Is the applicant or a control affiliate now the subject of a proceeding that could result in a yes answer for questions 10(a) – 10(f) ? radio button unchecked  Yes  radio button checked  No
10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? radio button unchecked  Yes  radio button checked  No
10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? radio button unchecked  Yes  radio button checked  No

TA-1/A : Signature

ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)

SIGNATURE: The registrant submitting this form, and as required, the SEC supplement and Schedules A-D, And the executing official hereby represent that all the information contained herein is true, correct and complete.


↑Top
Filing Submission 0000913181-24-000003   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help — Fri., Apr. 19, 2:46:27.2pm ET