3. Regulatory and Compliance

Regulatory and Compliance

No matter what industry or field in which they engage, enterprises face a growing number of complex regulatory and compliance issues in today's global environment. We guide our clients in conducting their businesses smoothly while also complying with applicable regulations and satisfying the expectations of their stakeholders. We have extensive knowledge of a variety of legislative and regulatory frameworks, and assist clients in formulating appropriate strategies to implement and maintain compliance systems and controls.

Antitrust and Competition
As government authorities in various jurisdictions have become increasingly aggressive in enforcing antitrust and competition regulations, compliance with such regulations is essential for multinational clients. We provide advice to clients in all aspects of antitrust and competition law, including merger control, cartel investigations and other competition law counseling. We help clients implement business practices and relationships that minimize or avoid antitrust risks.

Financial Regulatory
We provide comprehensive counseling on regulations in Japan relating to banking, securities, derivatives, futures, commodities, stock exchange matters and other financial products and transactions. Our clients include major banks, securities, firms and other institutions.

Compliance and Risk Management
We advise clients on both establishing and operating compliance programs that mitigate risk and on handling major compliance issues when they arise.
We handle a broad range of compliance matters, including timely disclosure under the Financial Instruments and Exchange Act and stock exchange regulations, internal investigation of scandals, the forming of independent committees (overseeing MBO, TOB accounting and other matters) and serving as a member of such committees. Our experience includes assuming the post of independent auditor of publicly traded companies and acting as the contact for internal whistle-blowing as well as handling communications with authorities, consumers and the media.

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