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.
- Related practice areas
- Capital MarketsBankingInsuranceAsset Management/FundsREIT/Real Estate FinanceVenture FinanceStructured Finance/SecuritizationAsset FinanceProject FinanceAcquisition FinanceDerivativesFinTech BusinessesSecurities Litigation/Disputes Related to Financial ProductsCross-border Financial TransactionsCivil Disputes Arising from Corporate ScandalsComplianceInsider TradingMarket ManipulationOther Breaches of the Financial Instruments & Exchange ActMoney LaunderingGlobal Compliance
- Idemitsu Kosan: Business integration with Showa Shell Sekiyu
- Rakuten, Inc.: Group reorganization
- Mizuho Financial Group, Inc.: Integration of Trust & Custody Services Bank, Ltd. with Japan Trustee Services Bank, Ltd.
- 2011 - 2012
- Business integration with Tokyo Stock Exchange Co., Ltd. and Osaka Stock Exchange Co., Ltd.
The International Comparative Legal Guide to Public Investment Funds 2018 - First Edition: JapanArticles
The Revision of the Corporate Governance Code and the Establishment of the Engagement Guidelines - Based on the Answers to the Public Comments (July 2018)Finance Law Newsletter
Trends Toward the Revision of the Corporate Governance Code and Establishment of the Engagement Guidelines - Impact on disclosure practices, etc. for shareholders meetings in June 2018 (April 2018)Finance Law Newsletter
Annual Reporting and Disclosure Requirements for QII-targeted Business Exemption in Japan (February 2018)Finance Law Newsletter
High-Frequency Trading: The FSA announced its responses to the public comments on the draft amended enforcement regulations regarding high-frequency trading (January 2018)Finance Law Newsletter
High-Frequency Trading: The FSA reveals its draft enforcement regulations regarding high frequency trading (November 2017)Finance Law Newsletter
High-Frequency Trading: Overview of the New Japanese Regulations (June 2017)Finance Law Newsletter
The Essential Points of the Amendments to the Regulation on Virtual Currency Exchange Services (November 2016)Finance Law Newsletter
Client Alert (Further Update: Effective March 1, 2016): Proposed Stricter Requirements on QII-targeted Business Exemption in Japan - Detailed Regulations Promulgated by Relevant Authorities (February 2016)Finance Law Newsletter