Finance Regulations/Compliance

Financial institutions and other finance related companies need to comply with various, often complicated, finance regulations and establish and maintain effective compliance systems.  N&A’s lawyers specialize in every field of finance, and we provide comprehensive advice relating to finance regulations and compliance of financial institutions.  More specifically, we provide expert advice on obtaining licenses, approvals or registrations, regulatory compliance at the time of M&As or expansions into new businesses, improvement of internal management/compliance systems, inspection by the supervisory authorities, in accordance with the Banking Act, Financial Instruments and Exchange Act, Trust Business Act, Insurance Business Act, and Money Lending Business Act, to both domestic and foreign financial institutions, including banks, security companies, trust banks, insurance companies, and investment managers, as well as companies running businesses in the finance related fields.  As we have many lawyers who have experience working at the regulatory authorities or financial institutions, we are able to provide balanced advice from the perspectives of both the supervising authorities and supervised companies.  In addition, we also provide assistance in coordinating and negotiating with regulatory authorities and self-regulatory organizations.

 

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