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

View All

Financial Regulation:Legal Topics

Financial Regulation:Newsletters

Update: Japanese HFT Regulations to Take Effect in April 2018
The new High Frequency Trading (HFT) regulations introduced by the amendment to the law
Japanese Virtual Currency Regulations take effect in April 2017

View All

Financial Regulation:News

Top rankings received from Best Lawyers in the 10th edition of "The Best Lawyers in Japan"
Top Ranking Received From Chambers FinTech 2019
Top Rankings in "Asialaw Profiles 2019: The Definitive Guide to Asia-Pacific's Leading Domestic and Regional Law Firms (23rd edition) "
Top rankings received from Best Lawyers in the Ninth edition of "The Best Lawyers in Japan"
Top rankings received in The Nikkei's "Corporate Legal Affairs and Lawyer Survey 2017"

View All

Financial Regulation:Seminars

Jun. 12, 2019External Seminars
"Recent developments in financial administration and challenges for internal audits"
Feb. 15, 2019External Seminars
"Compliance Seminar for the Management (76th)"
Dec. 20, 2018External Seminars
"The new era of supervisory approaches and challenges for financial institutions"
Dec. 7, 2018External Seminars
"Compliance Seminar for the Management (75th)"
Nov. 8, 2018External Seminars
"JFSA’s new supervisory approaches and challenges for financial institutions"

View All

Financial Regulation:Publications

Magazine Article
"Outline of Partial Revision to the Financial Instruments and Exchange Act - New Transactions Using Crypto-Assets and Handling Unfair Acts"
Magazine Article
"Diversified Payment Instruments and Payment Service Providers and Horizontal Legislation Across Relevant Laws and Regulations"
Book Article
"Lecture on Modern Contract Law: Detailed Discussion Part 1"
Magazine Article
"Customer-oriented business conduct: Tackling dialogue with regulators on sustainable business models"
"The Financial Technology Law Review Second Edition - Japan Chapter"

View All