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Financial Regulation

Finance and Financial Institutions

Financial Regulation

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Anderson Mori & Tomotsune has a long history of providing advice on the laws regulating the financial industry in Japan, including the Financial Instruments and Exchange Act, the Banking Act, the Trust Business Act, the Act on Investment Trusts and Investment Corporations, the Insurance Business Act and the Money Lending Business Act. In recent years, financial regulation has been implemented and amended at an extremely fast pace, while the content and nature of the regulation are becoming more detailed and technical. Given our expertise and considerable experience in financial transactions, Japanese and overseas financial institutions routinely turn to us for advice on financial regulation, and we help them successfully resolve their most challenging and novel issues, enabling us to provide appropriate advice based on the know-how compiled. Through these efforts and with our resources, our financial regulation practice is highly acclaimed by Japanese and overseas financial institutions. Our advice on financial regulation is sought after in various situations, including the procurement of licenses and approvals required for the establishment, merger and acquisition or organizational restructuring of financial institutions, analyzing financial regulatory issues and developing solutions in connection with new financial transactions or structuring, designing and marketing new financial instruments, communicating and negotiating with the relevant supervisory authorities or self-regulatory organizations, as well as preparing documents such as contracts with counterparties to transactions or explanatory materials and general terms and conditions to be delivered to customers. We also advise on developing and enhancing compliance systems and other internal control systems within financial institutions as well as on such institutions' response to inspection by the relevant financial supervisory authorities.

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PROFESSIONALS

KunihikoMorishita

Tokyo

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Tokyo

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Kunihiko Morishita works primarily in the fields of domestic and international banking, securities and asset management. He has been named as a leading lawyer by several publications including the International Financial Law Review and Chambers’ “The World’s Leading Lawyers”, and is a member of the Financial Law Board, an influential advisory body regarding financial law matters sponsored by the Bank of Japan. Mr. Morishita has extensive experience in representing financial institutions, including investment management companies, before the Financial Services Agency and other Japanese regulatory authorities. He regularly advises a number of multinational financial institutions, located within and outside of Japan, in relation to regulatory issues in the fields of securities, trusts and asset management.

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TakaharuTotsuka

Tokyo

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Tokyo

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Takaharu Totsuka is a partner and has been involved with various types of financial transactions including financial regulatory issues in relation to the Banking Law and Financial Instruments and Exchange Act, securitizations of real properties and receivables, PFI (private finance initiatives), and syndicated loans to operating companies and investment corporations. His scope of experience also includes mergers and acquisitions and general corporate issues.

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TakehiroShibuya

Tokyo

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Tokyo

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Takehiro Shibuya is a special counsel of Anderson Mori & Tomotsune. He has extensive experience with financial regulatory issues including the Financial Instruments and Exchange Law and various types of financial transactions. Prior to joining our firm, Mr. Shibuya served as a Securities and Exchange Inspector at the Kanto Local Finance Bureau of the Ministry of Finance for three years, where he was primarily in charge of inspection for financial instruments dealers, examination of insider trading and market operations.

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TetsuyaItoh

Tokyo

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Tokyo

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Tetsuya Itoh is a partner at Anderson Mori & Tomotsune with more than 10 years of experience involved principally in the fields of financial, commercial and corporate transactions with coverage of regulatory affairs. Mr. Itoh has represented lenders, arrangers, agents, trustees, equity investors, originators and other related parties in a number of asset transactions including REITs, real estate funds and construction finance, and additionally has experience in corporate acquisitions including those made in the course of insolvency proceedings.

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TaroTsunoda

Tokyo

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Tokyo

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Taro Tsunoda is a partner handling a wide range of corporate and financial matters with a focus on cross-border transactions involving Japanese entities. In addition, he regularly advises foreign clients on various Japanese　law matters including, corporate, securities regulations, antitrust, employment, bankruptcy and reorganization. He also has experience in international arbitration before the International Court of Arbitration of the ICC.

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AkihitoMiyake

Tokyo

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Tokyo

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Akihito Miyake focuses on all aspects of legal issues related to the asset management businesses. He has significant experience in providing legal services and advice in relation to formation, offering and distribution of various types of investment funds both in and outside of Japan, registration of asset managers and distributors acting in Japan, operations of financial instruments business operators regulated in Japan, business deployment in the Japanese market and inbound investments by foreign asset managers, as well as outbound investments by domestic investors. His experience also encompasses support in various capital market transactions and financing projects. Additionally, Mr. Miyake has worked extensively on general corporate matters at various phases of corporate activities ranging from ordinary course of business to corporate crisis situation.

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YasuyukiKuroda

Tokyo

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Tokyo

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Mr. Kuroda has been engaged in a broad range of matters at Anderson Mori & Tomotsune since he joined the firm in 2000. His works focus on general corporate, securities issue of domestic and international capital markets, advice regarding financial regulations and corporate litigation.

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MasayukiHashimoto

Tokyo

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Tokyo

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Masayuki Hashimoto specializes in establishment and marketing of domestic and foreign investment trusts, incorporating and listing of J-REITs, issuance, offering and sale of investment units of J-REITs, establishment and registration of investment companies and compliance of securities firms and other financial institutions and has extensive experience in capital markets, securities regulations and financial regulations.

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DaisukeTanimoto

Tokyo

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Tokyo

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Daisuke Tanimoto has extensive experience in the areas of derivatives, securitization and structured finance. He is often sought for his advice on derivatives transactions involving ISDA documentation and is well-versed in all aspects of derivatives documentation practice. Clients also look to him for the handling of complex transactions with multi-jurisdictional elements that require close collaboration with leading overseas law firms. Daisuke is also familiar with a wide range of financial regulatory and cross-border legal issues, taking advantage of his work experience at the Financial Services Agency of Japan and at the Financial Markets Law Committee in London.

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TakeshiNagase

Tokyo

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Tokyo

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Takeshi handles finance and corporate transactions, and has significant experience advising on a variety of matters, including public and private M&As, joint ventures and fintech advisory matters. His clients range from prominent financial institutions to virtual currency start-ups. Between 2013 and 2014 Takeshi, was seconded to the Disclosure Department of the Financial Services Agency of Japan, where he was part of a team that revised the laws and guidelines governing disclosure by listed companies, and prepared the Japanese Stewardship Code. Additionally, he has experience, on secondment, at the legal department of major Japanese securities firm from 2015 to 2017, where he handled a broad range of finance and corporate transactions. As a result of the exposure gained on these secondments, Takeshi is often sought for his advice on finance-related matters, with particular focus on the regulator’s point of view. Recently, Takeshi has also been advising on virtual currency laws, including registration requirements applicable to virtual currency exchange service providers, regulations for initial coin offerings, and the like.

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TakatoFukui

Tokyo

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Tokyo

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Based on his experience at Financial Services Agency (“FSA”) and Japan Virtual and Crypto-asset Exchange Association (“JVCEA”), Takato Fukui has been advising Fintech companies, financial institutions and a self-regulatory organization on Fin-Tech legal issues including those of Crypto Assets. Takato was in a supervisory position where he overlooked the functioning of money transmitters and prepaid card issuers under the Payment Services Act (“PSA”) and money lenders under the Money Lending Business Act at FSA from 2014 to 2017.Based on his experience, He was further instrumental in drafting JFSA's Guidelines for Virtual Currencies Exchange Business Operators. He also served as the Director General of the JVCEA from 2018 to 2020. He was instrumental in developing set of self-regulatory rules and obtaining certification from the FSA as a self-regulatory organization under the PSA and Financial Instrument Exchange Act.

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