Financial Instruments and Exchange Act & Finance Laws
We provide comprehensive support for listed companies in managing risks under the Financial Instruments and Exchange Act, including disclosure in securities reports and timely disclosure practices, as well as the prevention and post-response to unfair trading such as insider trading. Additionally, we offer extensive support for the operations of securities firms, asset management companies, investment advisory firms, banks, and fund settlement agents.
Attorneys Experienced in the Field
Our Major Cases
- Advice on disclosure and timely disclosure for listed companies
- Support for establishing internal controls and J-SOX compliance for listed companies
- Advice and support for establishing preventative measures against insider trading regulations
- Advice and support for establishing preventative measures against unfair trading regulations, such as bribes
- Advice on Type I and Type II financial instruments business, investment management, special exception businesses for qualified institutional investors, and investment advisory services
- Advice on banking law
- Advice on fund settlement services law
- Review of contracts related to various financial transactions
- In-house training for officers and employees