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Financial Regulation

Since its formation, Atsumi & Sakai has advised banks, securities companies, insurance companies, trust banks, investment management companies, and other financial institutions, both domestic and foreign, on financial regulatory laws, such as the Financial Instruments and Exchange Act, the Banking Act, the Insurance Business Act, the Trust Business Act, and the Money Lending Business Act. In addition, many of our lawyers have spent time at leading banks, financial institutions, and regulators so enabling us to approach problems from both a practical and legal standpoint, and with a knowledge of the nuances of the regulatory environment.

Our track record includes advising on:

Acquisition of licenses, permits, approvals, and registrations
Internal management and compliance functions
Risk management
Negotiations with supervisory authorities and self-regulatory organizations
Examination responses
Structure and design of new financial transactions and products
Drafting of customer terms and conditions.

When advising foreign clients, our firm can field a team of expert Japanese lawyers and foreign lawyers who have relevant experience and bi-cultural sensitivity. Our team can do business and draft documents in Japanese, English, German, Mandarin, Hindi, Korean, and Marathi, and provides services around the clock through our global affiliated offices.

Related Publications

"[Discussion Report] Contemporary Tasks of the Financial Legal System (Ⅱ) – Information, Settlements and Tech Firms," Kinyu Houmu Jijo March 25 (2019)
"[Discussion Report] Contemporary Tasks of the Financial Legal System (I) – Information, Settlements and Tech Firms," Kinyu Houmu Jijo March 10 (2019)
5000 Legal Countermeasures for Financial Institutions Vol.3: Lending, Management, and Guarantees, Kinzai Institute for Financial Affairs (2018) [Co-author]
5000 Legal Countermeasures for Financial Institutions Vol.2: Exchange, Bills and Checks, Electronically Recorded Monetary Claims, Auxiliary Business, and Peripheral Business, Kinzai Institute for Financial Affairs (2018) [Co-author]
Guidance to the Asset Management Industry in Japan, Tokyo Metropolitan Government (with the cooperation of the Financial Services Agency) (2017) [Co-author]
"Amendments to the Banking Act and Practical Tips: Mainly from a Financial Institution's Perspective," Finance Law Journal No.2070, Kinzai Institute for Financial Affairs, Inc. (July, 2017) [Co-author]
Q & A Financial Instruments and Exchange Law, Sanseido Publishing Co., Ltd. (2008) [Co-author and co-editor]
“An Outline of the Amended Trust Business Law and its relation to the Amended Trust Law (1) and (2),” Kinyu Homu Jijyo No. 1799/1800, Kinzai Institute for Financial Affairs (2007) [Co-author]