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Practical Method of Dealing with Wrongdoing by Executives and Employees

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Practical Method of Dealing with Wrongdoing by Executives and Employees

- Investigation and Liability Pursuit

Tsuneyasu Ozaki, Kaku Hirao, Tomoki Oga and Ryosuke Funakoshi co-authored a book entitled "Practical Method of Dealing with Wrongdoing by Executives and Employees - Investigation and Liability Pursuit", published by Daiichi Hoki Co., Ltd.

Authors

平尾 覚

His main practice area is corporate crisis management and litigation. He is also highly knowledgeable and experienced on matters involving foreign investigations and regulatory authorities. He has dealt with many cases in relation to investigations by the Securities and Exchange Surveillance Commission, the Japanese Fair Trade Commission, the Japanese Public Prosecutor’s Office, etc., as well as foreign authorities such as the U.S. Department of Justice. He has also dealt with a variety of cases such as misconduct by executives and employees, violation of environmental regulations, violation of the regulation regarding pharmaceutical and medical equipment, etc. In addition to cases that require emergency responses, he has advised many companies to build effective whistleblowing systems and anti-bribery compliance programs, and he has assisted with due diligence procedures from a compliance perspective.

Ryosuke Funakoshi has practical expertise in finance regulations / compliance, including insider trading regulations, conduct regulations on corporate information (material non-public information), regulations on conflict of interests, regulations on firewalls separating different kinds of financial institutions, regulations on compensation for loss, regulations on conducting the financial instruments business, regulations on disclosure of corporate affairs, and rules for timely disclosure in financial instruments exchanges. He also has extensive experience in handling various corporate scandal cases, such as improper product quality control practices, violation of the Act on Securing Quality, Efficacy and Safety of Products Including Pharmaceuticals and Medical Devices, unauthorized use of pirated software, fraud against customers by executives and employees, leaking of bidding information, leaking of customer information, misstatement of securities registration statement, and overcharging customers. He is a graduate of the University of California, Los Angeles School of Law (2017, LL.M. Specialization in Business Law - Securities Regulation Track, Dean's Tuition Fellowship Award). He worked at the Financial Services Agency of Japan from 2014 to 2016, Alston & Bird from 2017 to 2018, and Nomura Securities Co., Ltd. from 2018 to 2019.

大賀 朋貴

Tomoki’s practice covers various corporate crisis management matters such as product defects, breach of industrial regulations including GMP, misleading representations of products, divulging confidential information, window-dressing, misrepresentation of financial statements, insider trading, antitrust (bid rigging, price cartels, and abuse of dominant position), bribery, and misconduct by executives and employees. He provides tailored legal services (investigation, creating a relapse prevention plan, defending against criminal and administrative investigations, public relations, handling the related civil, criminal and administrative litigation, etc.) in a timely and flexible manner. He also has advised many companies in building effective whistle blowing systems and anti-bribery compliance programs, and has assisted with due diligence procedures from a compliance perspective.
After a secondment to a South Korean law firm from 2016 to 2017, he supports South Korean clients on their expansion and business development strategies in Japan.