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

STRUCTURED FINANCE BULLETIN
Enterprise Value Mortgage to be Introduced by New Legislation
RESTRUCTURING & INSOLVENCY NEWSLETTER
Enterprise Value Mortgage to be Introduced by New Legislation
BANKING BULLETIN
Enterprise Value Mortgage to be Introduced by New Legislation
ASSET MANAGEMENT BULLETIN
Legal reforms to promote entry of investment managers and stimulate unlisted securities transactions
ASSET MANAGEMENT BULLETIN
Initiatives Promote Japan as Leading Asset Management Center: Japan Published Asset Management Task Force Report

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Financial Regulation:News

Public Service
Masafumi Masuda becomes a member of the Peer Review Committee for "the Development of Basic Technology and Rules for the Expansion of the Virtual Economy," Strategic Innovation Promotion Program, Cabinet Office
Awards
The Best Lawyers in Japan™ and Best Lawyers: Ones to Watch in Japan™ (2025 edition)
Public Service
Report released on an investigation commissioned by the Ministry of Economy, Trade and Industry, in which the firm's lawyers were involved, and titled "Investigation Report on Operating Expenses for Green Transformation League (Investigation of Legal Issu
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

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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
"Lexology Panoramic: Fund Management 2024 - Japan Chapter"
Magazine Article
"Contracts Created with Generative AI and Consumer Protection"
Magazine Article
"Key Points for Disclosure of 'Material Agreements' Based on Revisions to the Cabinet Office Order on Disclosure"
Article
"The Financial Technology Law Review Edition 7 - Japan"
Magazine Article
"Key Points Concerning Loans and Parent Company Guarantees to, and Collection from, Japanese Subsidiaries of Taiwanese Companies"

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