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Atsumi & Sakai
Shinichiro Shimizu
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Shinichiro Shimizu

Partner

Main Practices
Risk Management / General Compliance / Regulatory Investigations (Domestic and Foreign) / Accounting Fraud / Insider Trading and Market Manipulation / Anti-bribery (Domestic) / Internal Reporting Systems / Corporate Governance / Shareholder Meetings / Corporate Disputes / Proxy Disputes and Special Shareholders / General Corporate Legal Affairs / Establishing Companies and Businesses for Startups / Securities Transactions, Disclosure, and Securities-related Litigation / Tax Advice and Tax Planning / Corporate Disclosure Compliance
Languages
Japanese / English
Office
Tokyo
Qualifications
Certified Fraud Examiner (CFE) (Certified in April, 2019)
Contact

Overview

Publications & Seminars

Awards

Admitted

Japan (2018)

Bar Association

Dai-ichi Tokyo Bar Association

Education

Hitotsubashi University (LL.B., 2000)
The Legal Training and Research Institute of the Supreme Court of Japan

Background

Public prosecutor（October 2001-August 2018）
Nagoya District Public Prosecutors Office (Special Investigation Department)（2010）
Criminal Investigation Division, Disclosure Inspection Division, Market Misconduct Investigation Division and Market Surveillance Division of the Executive Bureau of the Securities and Exchange Surveillance Commission of the Financial Services Agency（2012-2014）
Tokyo District Public Prosecutors Office (Special Investigation Department)（2015)
Secondment with Japan Exchange Regulation, Listed Company Compliance / Examination Department (August 2018- August 2020)
Members of the Board (Audit & Supervisory Committee), JASTEC Co., Ltd. (February 2022-September 2024)
Member of the Discipline Maintenance Committee of the Dai-ichi Tokyo Bar Association (June 2022-May 2024)
Special Investigation Committee Member, Fraud Investigation Cases Relating to Amana Inc. (June 2023)

Member of the Third-party Committee of the Tokyo Women’ s Medical University (July 2024)

External Corporate Auditor for MEET Co., Ltd.(August 2024-)

Publications

  • "How to Prevent and Respond to Insider Trading - What Former Prosecutors Value," the August 2023 Issue of the Compliance News (2023)

  • "IPO and Compliance," the July 2023 Issue of the Compliance Support Declaration (High Technology Communications, Inc.'s Newsletter) (2023)

  • ”Lawyers Guide 2023,"  Lexis Nexis and Business & Law LLC (January 2023) [Interview]

  • Explanation of Actual Cases: Market Manipulation - For the Formation of a Fair Market, SHOJIHOMU Co., Ltd. (2022) [Co-author]
  • "Considerations on the Crime of Fraudulent Means under Article 158 of the Financial Instruments and Exchange Act," Kinyu Houmu Jijo September 25, 2019 issue (2019)
  • The Legal 500 Comparative Guides - Bribery & Corruption (2nd edition), Japan chapter, Legalease Ltd. (2019) [Co-author]
  • "The Power of Specialists for Preventing, Identifying, and Responding to Misconduct," Business Law Journal No.131, LexisNexis Japan (2018) [Co-author]

Web Articles

  • "Interview with Authors! Attorney Shinichiro Shimizu and Attorney Satoshi Shimura 'Explanation of Actual Cases: Market Manipulation'," SHOJIHOMU PORTAL (January, 2023) [Interview]

Seminars

  • "Introduction of IPO by Local Companies," hosted by Atsumi & Sakai, December 5, 2022
  • "Establishing an anti-social forces screening system when preparing for an IPO," hosted by Atsumi & Sakai, November 7, 2022
  • "Ex-TSE listing examiner sheds light on the black-boxed anti-social forces checks by explaining IPO preparation practices and assessment methods based on listing standards," hosted by SOCIALWIRE CO., LTD., August 24, 2022
  • "A Former TSE Lawyer Talks about the Key Points of Listed Companies’ Response to Scandals, Effective Self-purification and Recovery of Trust," hosted by the Business Research Institute, January 31, 2022
  • "Effective Measures to Promote Compliance Awareness - For Front-line and Aecond-line Compliance Personnel," hosted by Financial Management Forums, Inc., December 14, 2021
  • "Overview and Points of IPO Examination in Non-Accounting Fields," hosted by Liaison Council of Small and Medium Audit Firms of the Japanese Institute of Certified Public Accountants, June 3, 2021
  • "Responding to Corporate Scandals – One day intensive seminar," hosted by the Business Research Institute, July 3, 2019