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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

Financial Regulation：Newsletters

Jun. 30, 2023 FINANCIAL REGULATION BULLETIN: METI’s Guidance Clarifying the Eligibility for Investment in Securities Tokens by an Investment Limited Partnership
Jun. 30, 2023 PRIVATE EQUITY NEWSLETTER: METI’s Guidance Clarifying the Eligibility for Investment in Securities Tokens by an Investment Limited Partnership
Mar. 17, 2023 TECH, IP AND TELECOMS LAW UPDATES: TECH, IP AND TELECOMS LAW UPDATES Vol.2 March 2023
Jun. 22, 2021 ASSET MANAGEMENT BULLETIN: New Exemptions to Attract Foreign Investment Managers
May 10, 2021 ASSET MANAGEMENT BULLETIN: Lowering the Entry Barrier for Foreign Asset Management Firms: Introduction of the “Financial Market Entry Office”

Financial Regulation：News

Oct. 17, 2023Public 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
Jul. 27, 2023Awards: Top rankings received from IFLR1000 2023
Apr. 20, 2023Awards: The Best Lawyers in Japan™ and Best Lawyers: Ones to Watch in Japan™ (2024 edition)
Oct. 12, 2022Public Service: The "Guidelines on Random-type Sales of NFTs," whose formulation included the involvement of Masafumi Masuda, are released
Sep. 14, 2022Awards: Top Rankings received from asialaw 2023, the definitive guide to Asia's leading law firms and lawyers

Financial Regulation：Seminars

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' "
Feb. 17, 2023External Seminars: "Compliance Seminar for the Management (85th)"
Feb. 3, 2023External Seminars: "Understanding the Variation Margin (VM) CSA (Japanese Language)"

Financial Regulation：Publications

Magazine Article: "Legal Commentary: How to Handle Procedures such as Preparation of Applications - Practical Issues Regarding Application for Extending the Due Date for Submission of Annual Securities Reports, Etc."
Magazine Article: "Legal Issues Concerning NFT"
Magazine Article: "Practical Q&A On the Financial Instruments and Exchange Act Part 33: Significance of 'Services Involving Public Relations' and 'Material Information' with Respect to Fair Disclosure Rules"
Magazine Article: "Practical Issues Concerning Notification Prior to Listing Approval for IPOs (Form S-1)"
Book: "Cryptoassets Law (2nd ed.)"