Effective Compliance Programs
About
With companies facing rising enforcement in the US, UK, China, Brazil and other jurisdictions, managing compliance risks is a top priority for global businesses. Regulators around the world require companies to establish compliance systems to prevent violations of laws and regulations by their officers, employees and other related parties. Many regulators also consider the establishment of appropriate compliance systems as a factor in reducing corporate criminal liability in enforcement actions. By establishing an effective compliance system based on a risk-based approach, we can both prevent violations and reduce the risk of serious sanctions being imposed by enforcement authorities in the event of violations.
Our lawyers have significant experience with anti-bribery laws, competition/anti-trust laws, privacy laws, anti-money laundering laws, securities laws, trade control/economic sanctions and other domestic and foreign compliance-related laws and regulations. Our support in structuring and implementing effective compliance systems includes the following:
- Support for compliance risk assessments
- Advice on the establishment of compliance organizational structures and internal control systems
- Preparation and review of relevant internal rules
- Conducting compliance training
- Support for the implementation of monitoring and compliance audits
Representative experience
- Advised many Japanese multinational companies on the creation and implementation of new global anti-corruption and antitrust compliance programs.
- Assisted Japanese manufacturing companies in post-acquisition compliance audits of companies in emerging countries.
- Advised many Japanese multinational companies on the establishment of global whistle-blowing systems by addressing the requirements of the privacy legislation of foreign jurisdictions, including the GDPR.
- Assisted Japanese subsidiaries of multinational companies in implementing effective compliance programs in conjunction with compliance departments at overseas headquarters.
- Advised an international financial institution on AML compliance issues related to all aspects of its day-to-day operations in Japan, including assisting in the preparation of an AML-related operations manual.