• Home
  • About Us
  • Locations
  • Practices
  • Lawyers
  • Seminars
  • Publications
  • Careers

Home > Practices > Finance > Financial Regulations/Financial Compliance

Main content starts here.

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

Sort Alphabetically

Related Seminars

January 23, 2018

NO&T Seminars

ADVANCE Corporate Law Seminar - Pioneering the Frontier in Corporate Law
2017 Part 9 FD Rules and Stock-based Compensation Seminar
"Practical Response to Fair Disclosure Rules and Latest Trends in Stock Compensation"

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

Yoshitoshi Imoto, Yu Wakae, Masanori Kawai, Keiji Tokujiya 

June 1, 2016

NO&T Seminars

ADVANCE Corporate Law Seminar - Pioneering the Frontier in Corporate Law
2016 Part 4 FinTech Seminar
"A World with FinTech - The Possibility of Collaboration between Financial Institutions and FinTech Companies"

Satoshi Inoue, Soichiro Fujiwara, Taku Umezawa, Shinsuke Hiratsu, Keiji Tonomura 

More Related Seminars

Related Publications

May, 2020

Newsletter

Extension of Filing Deadlines for Disclosure Documents in Response to the COVID-19 Outbreak

NO&T Japan Legal Update No.22 (May, 2020)

Takashi Tsukioka 

May, 2020

Others

Extension of filing deadlines for disclosure documents in response to COVID-19 outbreak

International Law Office Online Newsletter “Capital Markets-Japan”

Takashi Tsukioka 

December, 2019

Others

Does Interest Rate Restriction Act apply to corporate bonds?

International Law Office Online Newsletter “Capital Markets-Japan”

Takashi Tsukioka 

More Related Publications

Related Topics

April 9, 2020

Awards

High evaluation received in the 2021 Edition of "The Best Lawyers in Japan"

February 14, 2020

Awards

NO&T recognized by Chambers Global 2020

December 5, 2019

Awards

NO&T recognized by Chambers Asia-Pacific 2020

More Related Topics