Mori Hamada & Matsumoto advises banks, securities firms, investment trust management companies and other regulated entities in the financial services sector in connection with their formation, obtaining necessary licenses and authorizations and ongoing regulatory compliance. The firm also assists overseas entities in the financial services sector in establishing Japanse branches and subsidiaries.

Mori Hamada & Matsumoto provides financial services companies with day-to-day advice on regulatory issues related to matters such as the sale and solicitation of financial instruments and restrictions on unfair transactions. We also assist clients with matters such as improvement of internal control systems and responses to inspections conducted by supervisory agencies.

Recent deregulation has permitted greater flexibility in areas such as financing methods and the adoption of corporate takeover defense measures. Of course, there is not total unregulated freedom and disputes frequently arise, particularly in the current economic environment, in connection with the appropriateness of defensive measures as well the appropriateness of disclosure with respect to listed securities, spread of false information, fraudulent transactions, insider trading and other unfair transactions. The recent adoption of the Financial Instruments and Exchange Law is also expected to lead to increased regulatory focus on market efficiency and transparency and investor protection. Mori Hamada & Matsumoto has long experience in the capital markets practice area and regularly handles the variety of types of disputes that arise, whether in judicial or administrative proceedings or in ADR proceedings in Japan and overseas.