Financial Services & Regulation
About
Our Capital Markets practice group helps clients comply with new regulatory rules and developments in the financial services industry by leveraging our long industry experience and strong working relationships with financial regulators. In particular, we provide expert guidance on legal and regulatory issues related to business operations, liaising with regulators, preparing and adapting the necessary policies, manuals and client documentation, drafting and selecting delivery methods for new product launches and sales platforms, and advising financial institutions on corporate governance, internal control requirements and transaction and regulatory reporting structures.
Representative Experience
- Assisted an international financial institution with a regulatory review related to the entry of its offshore private wealth business into Japan. In particular, the review considered the application of the Trust Business Act and the FIEA of Japan to the client’s subsidiary in Singapore with regard to its inbound private wealth business targeting high net worth individuals.
- Advised an international financial institution on obtaining licenses required by the FIEA to offer and sell another international financial institution’s shares/units in Japan.
- Assisted an international financial institution with the preparation and filing of documents in connection with the initial public offering of company shares and with the disclosures of an open-ended investment company with variable capital.
- Represented an international financial institution in the filing of a Securities Registration Statement with the Kanto Local Finance Bureau in connection with the public offering of its shares in Japan.
