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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PublicationsArchives

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SeminarsArchives

2021.02.19
Practical key points of legal system of "Cashless and Payment Service Business" and "New Financial Service Intermediary Business" -With a focus on feasibility from the FinTech perspective -
2020.10.12
Characteristics of Limited Partnerships Established Overseas and Points to Note in Reviewing LP Agreements
2020.09.28
【Online Seminar】Legal Work and Practices concerning Limited Partnerships Formed Overseas
2020.08.31
【Online Seminar】Explanation of the Financial Services Intermediaries System and its Impact on the Independent Financial Advisor (IFA) Platform- In Light of the Potential Revision to the Principle of Customer Oriented Business Operations
2020.06.15
Legal Work and Practices concerning Limited Partnerships Formed Overseas
2019.10.24
Important Issues in Business Legal Affairs in View of Latest Developments - Restrictions on Fund Companies under the Financial Instruments and Exchange Act
2019.10.17
Important Issues in Business Legal Affairs in View of Latest Developments - FinTech and Legal Regulations - Payment Business and Virtual Currencies -
2019.10.04
Legal Regulations Concerning Crypto Assets (Virtual Currencies) Based on the Amendments in 2019 to the Payment Services Act
2019.04.16
Basics of and Legal Points to Consider in Foreign Limited Partnership Investments
2018.12.11
The Current Status and Prospects of Virtual Currency Legislation
2018.10.12
The "Fund Management Study Session" held by Japan Venture Capital Association
2018.05.15
Practices of Partnerships as Private Equity Funds and Legal Points to Consider
2018.03.15
Understanding the Fair Disclosure Rules and the Consequences Thereof for IR Practices in 90 Minutes -With a reference also to Cases of Penalties in the United States
2018.03.02
Strategic Overseas Expansions and Private Equity Fund Investments Using Offshore Schemes
2018.01.29
To Take Effect Soon: Summary of the Latest Information on Fair Disclosure Rules that Persons Engaged in Legal Affairs/IR Activities Should Know
2018.01.24
Strategic Overseas Expansions Using Offshore Schemes
2017.12.13
Recent Legal Practices on Partnerships as Private Equity Funds - A Commentary on the Toshijigyo Yugensekinin Kumiai (an Investment Limited Partnership Formed in Japan) and Foreign Limited Partnerships

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