Risk Management and Compliance

Responding to Corporate Malfeasance

Our firm has created a system that provides comprehensive and multi-faceted support for corporations in responding to corporate malfeasance.

The current business environment carries many risks for corporations. These include anti-monopoly law violations, such as cartel activity and price fixing, Unfair Competition Prevention Act violations such as data forgery, Unjustifiable Premiums and Misleading Representations Act violations such as false indications, Financial Instruments and Exchange Act violations such as fraudulent accounting and insider trading. These and other forms of corporate impropriety and malfeasance can have a massive impact when they occur, and if handled incorrectly, they pose a material threat to the survival of the corporation.

Our firm handles corporate malfeasance comprehensively and appropriately by utilizing a wealth of experience and superior resources centered on attorneys with hands-on experience at supervisory and regulatory bodies, such as the Public Prosecutors Office, Japan Fair Trade Commission, Financial Services Agency and other competent authorities, as well as commercial enterprises and financial institutions.

When an internal report or the like raises suspicion that a law or regulation has been violated, our firm provides advice in regard to the appropriate response and policy, promptly conducts an internal investigation in accordance with the details of the case, and provides advice on dealing with competent authorities, securities exchanges, the media, and other relevant parties.

In addition, in cases where it is clear that corporate malfeasance has occurred, we provide advice on dealing with external authorities, including in regard to criminal investigations and timely disclosures, and we can handle both civil and criminal litigation seeking liability in relation to stakeholders and other business partners.

Moreover, as ex post facto measures, we analyze the fundamental causes of the corporate malfeasance and thereupon provide advice concerning formulation of appropriate recurrence prevention measures, including the establishment of whistleblower systems and other governance systems, as well as familiarizing the parties related to the corporation with such systems.

Finally, we review risk management and compliance systems to ensure the prevention of future corporate malfeasance and, when necessary, provide appropriate advice tailored to the realities of the corporation in regard to the creation of internal rules and other preventive legal measures.