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Financial Regulations/Financial Compliance
We provide a high-level and wide range of legal services related to financial regulations, including, but not limited to, banking, securities, insurance and trust regulations, and compliance for financial institutions.
In particular, we regularly provide advice and assistance in obtaining and maintaining licenses, approvals, registrations or other regulatory requirements of banks, insurance companies, trust banks, securities firms, investment advisers, asset managers, J-REIT and investment trust management companies; M&As of financial institutions (including merger, group restructuring, business transfer and out-bound M&As); day-to-day compliance matters (including compliance with regulatory code-of-conduct rules); and the structuring and maintaining of internal controls and compliance structures necessary for complying with the relevant financial regulations. We also provide advice relating to inspections 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. We also handle securities and finance disputes and litigation involving complex financial products, such as derivatives.
In the area of financial regulations, the need for professional expertise and careful scrutiny is rising as an increasing number of new regulations are being introduced and existing 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 practical and well-balanced advice and professional service meeting their respective needs.
Lawyers
Related Seminars
January 23, 2018 | NO&T Seminars | Yushi Hegawa, Shinichi Araki, Atsushi Yamashita, Motoki Saito, Sosuke Kimura |
September 22, 2017 | NO&T Seminars | Legal Updates on Chinese Legal Practice Seminar 2017 in Tokyo |
June 1, 2016 | NO&T Seminars | Satoshi Inoue, Soichiro Fujiwara, Taku Umezawa, Shinsuke Hiratsu, Keiji Tonomura |
Related Publications
June, 2021 | Articles | Assessing Japan’s amended regulatory framework for fund transfer service providers International Financial Law Review (online) International Briefings: Japan |
June, 2021 | Others | Underwriters' liability for false statements made in IPO International Law Office Online Newsletter “White Collar Crime-Japan” John Lane, Takashi Ohno (Co-author) |
April, 2021 | Articles | Regulating Digital Assets in the United States: Security Tokens, Utility Tokens and Stablecoins Journal of International Banking Law & Regulation (Volume 36 Issue 5) Takeshi Nagai (Co-author) |
Related Topics
April 15, 2021 | Awards | High evaluation received in the 2022 Edition of "The Best Lawyers in Japan" |
February 18, 2021 | Awards | |
December 15, 2020 | Awards |