Financial Regulations

Apart from addressing various issues concerning financial regulations, which arise incidentally in individual financial dealings, our firm also provides legal advice on various day-to-day compliance issues that financial institutions (such as banks, securities companies, trust and investment trust management companies) face.

We handle matters involving the interpretation or application of a large variety of laws and ordinances (such as the Financial Instruments and Exchange Act, the Banking Act, the Trust Business Act, the Investment Trust Act and the Money Lending Business Act), and provide a broad range of services ranging from individual and specific legal consultation to dealing with company-level needs including filings with, registrations at and obtaining permissions from the relevant authorities, reviewing annual reports as well as planning and reviewing internal policies and rules.

Our firm also follows, on a steady basis, the frequent amendments to these financial-related laws, regulations and ordinances, and timely provides our clients with these amendments as needed in various ways such as seminars, newsletters and individual communications.

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