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Financial Regulations and Finance

The purpose of the Financial Instruments and Exchange Act of Japan (the “Exchange Act”) is, among others, to achieve fair price formation and to ensure fairness in the trading of financial instruments. The Exchange Act sets forth a disclosure system and regulations for persons and entities engaged in financial instruments business, etc. to achieve the foregoing fair practice purposes.

We stand ready to provide practical advice to our clients on financial regulations and finance matters. Our team of finance law professionals are familiar with and have extensive experience with financial regulatory laws in Japan, such as the Exchange Act, the Banking Act, the Insurance Business Act, and the Trust Business Act. In particular, we are experienced and possess an in-depth understanding of various regulations on finance matters, including market manipulation, insider trading prevention, financial instruments business registration, special conduct compliance of financial instruments dealers, etc., and necessary personnel structures and disclosure matters related to listed securities during initial public offerings (IPOs) and other public offerings. We have experience providing legal support for compliance issues related to the business operations of securities companies, asset management companies and banks. In addition, we are prepared to handle a full range of financial transactions, including syndicated loans, loan securitizations and real estate-project finance and financing for renewable energy power generation projectsWe stand ready to provide practical advice to our clients on financial regulations and finance matters. Our team of finance law professionals are familiar with and have extensive experience with financial regulatory laws in Japan, such as the Exchange Act, the Banking Act, the Insurance Business Act, and the Trust Business Act. In particular, we are experienced and possess an in-depth understanding of various regulations on finance matters, including market manipulation, insider trading prevention, financial instruments business registration, special conduct compliance of financial instruments dealers, etc., and necessary personnel structures and disclosure matters related to listed securities during initial public offerings (IPOs) and other public offerings. We have experience providing legal support for compliance issues related to the business operations of securities companies, asset management companies and banks. In addition, we are prepared to handle a full range of financial transactions, including syndicated loans, loan securitizations and real estate-project finance and financing for renewable energy power generation projects.

If an organization comes under scrutiny by a competent supervisory authority, they need to be cognizant of and familiar with the latest applicable laws and regulations and the practical application of such laws and regulations by the supervisory authorities. They also need to understand that they may need to interact and negotiate in a persuasive “manner” with any number of relevant supervisory authorities for an extended period of time and on any number of issues, both expected and unexpected. If they lack these skills and knowledge, they risk increasing the possibility of the authorities initiating an administrative action against them. We possess the necessary knowledge, skill and experience to assist our clients to safely navigate these issues.

If a financial services provider or similar organization finds itself in a situation where it needs to prepare to be inspected by the competent regulatory authorities or if an event that could have a negative impact (such as a scandal) on such person or organization occurs, experience has shown that the subsequent actions of the competent authorities depend heavily on the details of the initial report provided to them. We have an extensive track record of success in dealing with such matters and can provide assistance with matters such as an emergency response, an analysis of the causes of the problem, the formulation of measures to prevent the recurrence of the problem, and responses to the authorities during all phases of their investigation, including the initial response, the preparation of reports to be provided to the authorities, the development of an operation manual to prevent the recurrence of the problem, and the organization of workshops for personnel training.

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