Financial Services and Regulatory Advice | Banking & Finance | Legal Services

About

We act for a number of domestic and foreign financial institutions in Japan on financial services and regulatory matters. These include banks, investment banks, securities companies, trust banks and insurance companies. Our practice covers both the establishment and licensing of these institutions in Japan and the provision of compliance advice pertaining to Japan’s complex regulatory environment. We also advise on issues associated with domestic and cross-border M&A transactions involving financial institutions.

Representative Experience

Provided financial services regulatory advice to a Japanese financial services company in relation to its acquisition of an American multinational conglomerate’s leasing business in Japan for approximately JPY575 billion.
Advised an international financial services company on best possible structures to offer and sell shares/units in Japan and on obtaining a license to do business under the Financial Instruments and Exchange Act and related regulations.
Advised an international financial services company on how to incorporate Japanese AML procedures into its global practice, including storage of KYC documents and data.
Advised an international financial institution on freezing and release procedures for bank accounts that are not compliant with Japanese AML regulations.
Advised an international financial services company on a regulatory review of its offshore private wealth business in Japan.