Financial Regulation

Seasoned advice in the area of financial regulation and communications with regulatory authorities

We provide comprehensive advice to banks, insurance companies, securities broker-dealers, and other financial institutions. We advise on corporate matters, financial regulations, governmental authorizations, and compliance. We assist financial institutions in developing and updating their compliance systems, corporate management systems, and other organizational structures, and advise them on communication strategy with supervisory authorities. We also handle mergers and acquisitions, restructurings, and integrations of financial institutions.

In recent years, the financial authorities in Japan have been actively encouraging financial institutions to pursue best practices. The number of financial institutions subjected to significant penalties or administrative sanctions is increasing. We assist our clients in coping with these developing trends, regulations, practices, and challenges by providing comprehensive legal services tailored to their specific situations and needs.

Financial Regulation:People

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Financial Regulation:Newsletters

ASSET MANAGEMENT BULLETIN
Initiatives Promote Japan as Leading Asset Management Center: Japan Published Asset Management Task Force Report
FINANCIAL REGULATION BULLETIN
METI’s Guidance Clarifying the Eligibility for Investment in Securities Tokens by an Investment Limited Partnership
PRIVATE EQUITY NEWSLETTER
METI’s Guidance Clarifying the Eligibility for Investment in Securities Tokens by an Investment Limited Partnership
TECH, IP AND TELECOMS LAW UPDATES
TECH, IP AND TELECOMS LAW UPDATES Vol.2 March 2023
ASSET MANAGEMENT BULLETIN
New Exemptions to Attract Foreign Investment Managers

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Financial Regulation:News

Awards
Yoshinori Tatsuno listed in "Litigators of Asia 2023" by ALB
Public Service
Masafumi Masuda becomes a member of the Study Group on the Realisation of a Safe and Secure Metaverse, Ministry of Internal Affairs and Communications
Awards
Top rankings received from IFLR1000 2023
Awards
The Best Lawyers in Japan™ and Best Lawyers: Ones to Watch in Japan™ (2024 edition)
Public Service
The "Guidelines on Random-type Sales of NFTs," whose formulation included the involvement of Masafumi Masuda, are released

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Financial Regulation:Seminars

Feb. 2, 2024External Seminars
"Compliance Seminar for the Management (88th)"
Jan. 26, 2024External Seminars
"Understanding the Variation Margin (VM) CSA (Japanese Language)"
Nov. 22, 2023External Seminars
"Compliance Seminar for the Management (87th)"
Oct. 20, 2023External Seminars
"Compliance Seminar for the Management (86th)"
Mar. 30, 2023External Seminars
"4th Asia-based International Financial Law Conference 'Session two: Fintech’s impact on Asian financial markets I: the regulatory and legislative developments in STO and digital exchanges' "

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Financial Regulation:Publications

Article
"International Comparative Legal Guide to: Insurance & Reinsurance 2024 - Japan Chapter"
Article
"Japan Business Expansion by Non-Japanese Asset Managers"
Magazine Article
"Cross-Sector Cybersecurity Laws (Vol. 4): Cybersecurity x Disclosure - Information Disclosure Related to Cybersecurity Focusing on the Financial Instruments and Exchange Act"
Magazine Article
"An Overview of Japan’s Financial Instruments Business Regime"
Magazine Article
"Acquisition and Disposal of REIT Units by Sponsors of Listed Investment Corporations"

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