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Magazine Article
"Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"

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Author	【Co-Author】 Daisuke Oda Mana Watanabe
Related Practice Areas	Financial Regulation Insurance Payment Services/Electronic Money Financial Services Disputes Settlement and Funds Transfers Insurtech Cryptoassets and Blockchain Fund-raising Financing and Guarantees Cybersecurity and AML Corporate Financial Accounting and Personal Finance Management Asset Management Financial Services Intermediation DX Support Services for Financial Institutions
Language	Japanese
Publication	Kinyu Homu Jijo No.2159
Date of Publication	April 10, 2021
Link	KINZAI Institute for Financial Affairs, Inc.

Financial Regulation：Publications

Book: "Insider Trading (Second Edition)"
Book: "New Textbook for NFT: Business Models, and Law, Accounting and Tax in the Web3 Era"
Magazine Article: "Current Status of Measures for Money Laundering, Terrorist Financing and Proliferation Finance"
Magazine Article: "[Forum for Trusts] The Act on the Promotion of Cash Flow-Based Lending - Focusing on Regulations Regarding Trusts Pertaining to Enterprise Value Charge"
Magazine Article: "Financial Regulations and Taxation of Foreign Trust-type Funds that are not Foreign Investment Trusts"

Insurance：Publications

Book: "Regulations Regarding Genomes"
Article: "International Comparative Legal Guide to: Insurance & Reinsurance 2024 - Japan Chapter"
Article: "Chambers Global Practice Guide Insurance & Reinsurance 2024 - Trends and Developments"
Article: "Chambers Global Practice Guide Insurance Litigation 2023 - Trends and Developments"
Article: "International Comparative Legal Guide to: Insurance & Reinsurance 2023 - Japan Chapter"

Payment Services/Electronic Money：Publications

Book: "New Textbook for NFT: Business Models, and Law, Accounting and Tax in the Web3 Era"
Magazine Article: "Metaverse Legal Issues and Policy Trends"
Article: "The Financial Technology Law Review Edition 7 - Japan"
Magazine Article: "Legal Issues Regarding DAO"
Magazine Article: "Regulatory Trends Concerning Stable Coins in the US, UK, Europe, and Singapore"

Financial Services Disputes：Publications

Book: "Insider Trading (Second Edition)"
Article: "Getting the Deal Through - Risk & Compliance Management 2024 - Japan Chapter"
Magazine Article: "Key Points Concerning Loans and Parent Company Guarantees to, and Collection from, Japanese Subsidiaries of Taiwanese Companies"
Magazine Article: "Legal Issues in Recent Securities Litigation (5; Final): Identification of Shares Subject to Claims for Damages and the Starting Point for Calculating Damages for Delay"
Magazine Article: "Legal Issues in Recent Securities Litigation (2): False Statements, Etc. in Non-financial Information"

Settlement and Funds Transfers：Publications

Magazine Article: "Metaverse Legal Issues and Policy Trends"
Article: "The Financial Technology Law Review Edition 7 - Japan"
Magazine Article: "Legal Issues Regarding DAO"
Magazine Article: "Regulatory Trends Concerning Stable Coins in the US, UK, Europe, and Singapore"
Magazine Article: "Legal Issues Concerning NFT"

Insurtech：Publications

Book: "Regulations Regarding Genomes"
Article: "The Financial Technology Law Review Edition 7 - Japan"
Magazine Article: "The Financial Technology Law Review Sixth Edition - Japan Chapter"
Magazine Article: "The Financial Technology Law Review Fifth Edition - Japan Chapter"
Book: "6000 Legal Measures for Financial Institutions Vol. III - Incidental Services, Peripheral Services, and Fintech"

Cryptoassets and Blockchain：Publications

Book: "New Textbook for NFT: Business Models, and Law, Accounting and Tax in the Web3 Era"
Magazine Article: "Metaverse Legal Issues and Policy Trends"
Magazine Article: "Legal Issues Regarding DAO"
Magazine Article: "Regulatory Trends Concerning Stable Coins in the US, UK, Europe, and Singapore"
Magazine Article: "Legal Issues Concerning NFT"

Fund-raising：Publications

Other: “International Real Estate ﹘ Japan”
Magazine Article: "Legal Issues Regarding DAO"
Book: "Cryptoassets Law (2nd ed.)"
Book Article: "Fundamentals of Legal Practice Regarding Blockchains and Latest Trends - From Regulations on Crypto-Assets to NFT"
Book: "Asking Attorney Masafumi Masuda about Everything You Should Already Know about Web3, NFT, and Metaverse"

Financing and Guarantees：Publications

Magazine Article: "Q&A Systems and Practices of Financial Service Intermediary Businesses (Part 7):　Analysis Based on Public Comments on　Government Ordinances and Supervision Guidelines"
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: "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: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Book: "Future Report on Digital Finance 2020"

Cybersecurity and AML：Publications

Book: "New Textbook for NFT: Business Models, and Law, Accounting and Tax in the Web3 Era"
Magazine Transcript: "'Social Safety Forum: Ensuring Safety and Security in Cyberspace as it Becomes Public Space - Diverse Cooperation between Public and Private Sector Entities' Lecture 3: Cooperation with Authorities for Companies Damaged by Cyberattacks"
Magazine Article: "Metaverse Legal Issues and Policy Trends"
Magazine Article: "Legal Issues Regarding DAO"
Article: "In Depth: Anti-Money Laundering"

Corporate Financial Accounting and Personal Finance Management：Publications

Article: "The Financial Technology Law Review Edition 7 - Japan"
Magazine Article: "The Financial Technology Law Review Sixth Edition - Japan Chapter"
Magazine Article: "The Financial Technology Law Review Fifth Edition - Japan Chapter"
Book: "6000 Legal Measures for Financial Institutions Vol. III - Incidental Services, Peripheral Services, and Fintech"
Magazine Article: "Q&A Systems and Practices of Financial Service Intermediary Businesses (Part 7):　Analysis Based on Public Comments on　Government Ordinances and Supervision Guidelines"

Asset Management：Publications

Book: "Cryptoassets Law (2nd ed.)"
Book: "New Private Banking - For Primary PB Examination (Part 1)"
Magazine Article: "Q&A Systems and Practices of Financial Service Intermediary Businesses (Part 7):　Analysis Based on Public Comments on　Government Ordinances and Supervision Guidelines"
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: "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"

Financial Services Intermediation：Publications

Magazine Article: "Global Legal Insights - Fintech 2023 - Vietnam Chapter"
Article: "Global Legal Insights - Fintech 2022 - Vietnam Chapter"
Book: "Practical Guidance on Financial Service Intermediary Business"
Magazine Article: "Q&A Systems and Practices of Financial Service Intermediary Businesses (Part 7):　Analysis Based on Public Comments on　Government Ordinances and Supervision Guidelines"
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"

DX Support Services for Financial Institutions：Publications

Magazine Article: "Contracts Created with Generative AI and Consumer Protection"
Magazine Article: "Q&A Systems and Practices of Financial Service Intermediary Businesses (Part 7):　Analysis Based on Public Comments on　Government Ordinances and Supervision Guidelines"
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: "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: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"

Daisuke Oda：Publications

Book: "The Rule Book of Financial Transactions for Compliance (2024 ed.)"
Book: "Compliance for Bank Clerks [Expanded 14th ed.]"
Book: "Compliance for Managers [Expanded 15th ed.]"
Article: "In Depth: Anti-Money Laundering"
Magazine Article: "Future Principles-Based and Rules-Based Policies Based on the JFSA Strategic Priorities"

Mana Watanabe：Publications

Book: "The Rule Book of Financial Transactions for Compliance (2024 ed.)"
Book: "The Rule Book of Financial Transactions for Compliance (2022 ed.)"
Book: "Practical Guidance on Financial Service Intermediary Business"
Magazine Article: "Q&A Systems and Practices of Financial Service Intermediary Businesses (Part 7):　Analysis Based on Public Comments on　Government Ordinances and Supervision Guidelines"
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"