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

New Exemptions to Attract Foreign Investment Managers
Lowering the Entry Barrier for Foreign Asset Management Firms: Introduction of the “Financial Market Entry Office”
Fintech Newsletter - Publication of Cabinet Order and Cabinet Office Ordinance on the Revision of the Payment Services Act 2020

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Financial Regulation:News

Eiko Hakoda Recognized in IFLR1000 Women Leaders 2021 - Asia-Pacific
Public Service
The "Guidelines for NFT Businesses," in which Masafumi Masuda was involved in the formulation as Legal Counsel of the NFT Subcommittee, is released by Japan Cryptoasset Business Association (JCBA)
Lawyers from Mori Hamada & Matsumoto were included in the 12th edition of The Best Lawyers™ in Japan
Top Ranking Received From Chambers FinTech 2021
Hiroki Aoyama named to Global Banking Regulation Review's "45 under 45" survey

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Financial Regulation:Seminars

Dec. 1, 2020External Seminars
"Compliance Seminar for the Management (80th)"
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"

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Financial Regulation:Publications

Magazine Article
"Considerations Regarding Insider Trading - In Light of Recent Trends"
Magazine Article
"Supervision and Regulation, Administrative Dispositions, Authorized Financial Service Intermediary Businesses Associations, Designated Dispute Resolution Organizations (Financial ADR), and Provisions Regarding Impacts on Other Laws and Regulations"
Magazine Article
"Outline of the Revised Act on Strengthening Industrial Competitiveness and Effect on Business Practice - Focusing on Venture Support, Facilitation of Business Turnaround, and Perpetuation of the Regulatory Sandbox"
Magazine Article
"Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article
"Instruction for Security Token Offering of Tokenized Debt or Stock"

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