Securities and Finance

In recent years, imposition of more stringent financial regulatory policy has intensified demands for observance of laws and regulations covering financial institutions. Moreover, with the emergence of diversified and complex methods of funding and creation of new types of complex financial instruments, legal issues encountered by financial institutions have become much more complicated.

We have given legal advice to clients such as depositary financial institutions (banks, etc.), securities firms, insurance companies, leasing companies, and fund managers. Such advice has addressed topics such as business management systems and compliance systems.　We provide highly professional advice on appropriate responses to various financial regulations. We also plan and formulate schemes related to various financial transactions in which the aforementioned financial institutions are involved, review legal problems concerning such schemes, draft agreements, perform legal assessment, etc.

With regard to subsequent resolution of disputes, a wide variety of financial instruments have been made available for sale in recent years, and awareness of appropriate sales approaches and explanations about such instruments has increased. Against this backdrop, we have been involved in litigation for appropriate resolutions concerning the handling of lawsuits over sales of financial instruments. Measures taken include making persuasive arguments and providing proof to courts, making use of our experience and track record in this area.

We also implement due diligence for and provide legal assistance to companies that are preparing to offer their stocks to the public. Construction and organization of internal control systems for public stock offerings are large-scale projects that place a great deal of pressure on companies’ time and human resources. We work proactively on such projects in order to provide the best possible assistance.