We provide a high-level and wide range of legal services related to financial regulations.

In the area of financial regulations, the necessity of professional advice and careful scrutiny in ensuring compliance is rising as recently, an increasing number of new regulations are being introduced and traditional regulations are being reviewed and amended. Our experienced lawyers with in-depth knowledge of the regulations and practices in each area of financial regulations provide our clients with services meeting their respective needs.

In particular, we regularly provide advice and assistance in the formation, obtaining and maintenance of appropriate licenses, approvals, registrations or other regulatory requirements of banks, insurance companies, trust banks, trust companies, financial instruments firm (securities firms, investment advisers, investment managers and investment trust management companies); day-to-day compliance matters (including compliance with prohibition of certain conducts under the regulations); the structuring and maintenance of internal controls and compliance structures necessary for complying with the relevant financial regulations; and various legal issues relating to the solicitation and distribution of financial products in Japan. We also provide advice relating to the inspection by the Financial Services Agency and/or Securities and Exchange Surveillance Commission, as well as crisis management and internal investigation relating to scandals and other improper or irregular incidents.

In the area of asset management and fund management, we provide various legal advice concerning the structuring of and distribution and selling of various fund vehicles, including, but not limited to, J-REITs, domestic and foreign investment trusts, and private equity funds. Our broad range of services include assisting clients and providing legal advice with respect to the preparation and filing of securities registration statements, prospectuses and other materials to be used for soliciting investors; the necessity and filing of registrations, notifications or other regulatory procedures in managing and/or selling the fund; and providing various other advices relating to the management of the fund.