Financial institutions and other finance related companies need to comply with various, often complicated, finance regulations and establish and maintain effective compliance systems. N&A’s lawyers specialize in every field of finance, and we provide comprehensive advice relating to finance regulations and compliance of financial institutions. More specifically, we provide expert advice on obtaining licenses, approvals or registrations, regulatory compliance at the time of M&As or expansions into new businesses, improvement of internal management/compliance systems, inspection by the supervisory authorities, in accordance with the Banking Act, Financial Instruments and Exchange Act, Trust Business Act, Insurance Business Act, and Money Lending Business Act, to both domestic and foreign financial institutions, including banks, security companies, trust banks, insurance companies, and investment managers, as well as companies running businesses in the finance related fields. As we have many lawyers who have experience working at the regulatory authorities or financial institutions, we are able to provide balanced advice from the perspectives of both the supervising authorities and supervised companies. In addition, we also provide assistance in coordinating and negotiating with regulatory authorities and self-regulatory organizations.
- Related practice areas
- Capital MarketsBankingInsuranceAsset Management/FundsREIT/Real Estate FinanceVenture FinanceStructured Finance/SecuritizationAsset FinanceProject FinanceAcquisition FinanceDerivativesFinTechSecurities Litigation/Disputes Related to Financial ProductsCross-border Financial TransactionsCivil Disputes Arising from Corporate ScandalsComplianceInsider TradingMarket ManipulationOther Breaches of the Financial Instruments & Exchange ActMoney LaunderingGlobal Compliance
- Sumitomo Bakelite Co., Ltd. - Tender offer for Kawasumi Laboratories, Inc.
- 2020 - 2021
- Kohlberg Kravis Roberts: Investment in Netstars Co., Ltd.
- MBO by a company listed in the first section
- Shionogi & Co., Ltd. - Tender offer for shares in UMN Pharma Inc.
- MUFG Bank, Ltd. - Increased shareholdings in Bank Danamon and Bank BNP
- Mizuho Financial Group, Inc./Mizuho Bank, Ltd. - Capital and business alliance between Mizuho Bank, Ltd. and IBJ Leasing Co., Ltd.
- Japan Post Holdings Co., Ltd.: Acquisition of stake in Aflac Incorporated
- Idemitsu Kosan: Business integration with Showa Shell Sekiyu
- Rakuten, Inc.: Group reorganization
- Mizuho Financial Group, Inc.: Integration of Trust & Custody Services Bank, Ltd. with Japan Trustee Services Bank, Ltd.
Thai Private Limited Companies are now Permitted to Raise Funds through Convertible DebenturesArticles
Regulation of the Securities and Exchange Commission of Thailand on the Prohibition of Utility Tokens in Digital Asset Exchanges registered in ThailandArticles
The Financial Action Task Force’s Fourth Mutual Evaluation Report of Japan: A Review and Way ForwardFinance Law Newsletter
Thai Regulation of Fintech Business - Basic regulations concerning payment systems & digital asset businessesFinance Law Newsletter
Thai Regulation of Fintech Business - Basic regulations concerning payment systems & digital asset businessesAsia Newsletter
Japan: Proposed Regulatory Regimes for Foreign Investment Managers and Deregulation of Foreign Corporate Client Information HandlingFinance Law Newsletter
Thai Regulation on Foreign Companies (2/2) - Basic regulations on banking, money lending, finance leasing, and real estate businessFinance Law Newsletter
Thai Regulation on Foreign Companies (1/2) Business Operation under the Foreign Business ActFinance Law Newsletter