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:Legal Topics

Financial Regulation:Newsletters

Revision of Prior Notification System under the Foreign Exchange and Foreign Trade Act: Disclosure of Draft Amendments to Cabinet Orders, Ministerial Ordinances and Public Notices (Breaking News)
Update: Japanese HFT Regulations to Take Effect in April 2018
The new High Frequency Trading (HFT) regulations introduced by the amendment to the law

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Financial Regulation:News

Top Rankings in "asialaw Profiles 2021"
Comments by Masahito Saeki were featured in a NIKKEI REAL ESTATE MARKET REPORT article titled "Aftermath of Corona Virus. Who bears the risk for the rent reduction. Owners are troubled against request from tenants." published on June 20, 2020
Lawyers from Mori Hamada & Matsumoto were included in the 11th edition of The Best Lawyers™ in Japan
Top Ranking Received From Chambers FinTech 2020
Top Rankings in "Asialaw Profiles 2020: The Definitive Guide to Asia-Pacific's Leading Domestic and Regional Law Firms (24th edition) "

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Financial Regulation:Seminars

Feb. 14, 2020External Seminars
"Compliance Seminar for the Management (79th)"
Dec. 3, 2019External Seminars
"Compliance Seminar for the Management (78th)"
Sep. 6, 2019External Seminars
"Compliance Seminar for the Management (77th)"
Jun. 12, 2019External Seminars
"Recent developments in financial administration and challenges for internal audits"
Feb. 15, 2019External Seminars
"Compliance Seminar for the Management (76th)"

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Financial Regulation:Publications

Magazine Article
"Legal Commentary: Investment Crowdfunding Regulations and Related Issues - A New Method of Financing Drawing Attention in the COVID-19 Pandemic"
Magazine Article
"The Pertinence of Insurance Business to Diversifying Insurance Services (Part 2) - Interpretations that May Change with the Development of IT Business"
Magazine Article
"Regulation Forefront: Practical "Rule-Based" Securities Monitoring"
Magazine Article
"The Pertinence of Insurance Business to Diversifying Insurance Services (Part 1) - Whether the Rise of InsurTech Falls Under the Category of Insurance Business"
Magazine Article
"Crypto-Asset Trading, STO and Related Misconduct"

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