Financial Regulation/Financial Compliance

At Kitahama, our clients include banks, trust banks, other financial institutions, non-bank financial institutions, investment funds, investment management or advisor companies, investment corporations, and a diverse range of other institutions. Our firm provides legal advice on the financial regulations applicable to these institutions.

The legal restrictions governing the finance industry change continuously, making it necessary to keep constantly abreast of revisions to those regulations. In addition, financial restrictions are supported both by laws and regulations and by guidelines from government authorities, and the intricate web of information making up this regulatory framework cannot be understood quickly or casually. Our firm is home to many attorneys who have been seconded to the Financial Services Agency and Local Finance Bureaus and are able to provide appropriate legal advice informed by practical experience at specialist institutions as well as by their diligent and continual refinement of their own expertise.