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Financial regulatory compliance and financial transactions

PwC's attorneys leverage our extensive experience with financial regulations and financial transactions to provide accurate advice according to the needs of our clients.

The introduction of new legislation can have a serious impact on the financial sector, and the expectations of clients and regulatory authorities are especially important for parties active in financial markets. In order to be successful in this regulated market, it is important to recognise the impact of new legislation in a timely manner and respond appropriately.

PwC Legal Japan, a law firm based in Tokyo, can help you with the challenges that accompany new legislation, risk management and compliance requirements. We provide advice on different aspects of financial laws and regulations to banks, insurers, investment banks, asset managers, fund managers and other related parties, in collaboration with PwC’s extensive international network of financial services professionals in various fields.

Our services

Financial regulatory compliance

PwC Legal Japan’s attorneys are familiar with financial laws and regulations, such as the Banking Act, the Financial Instruments and Exchange Act, the Payment Services Act, the Trust Business Act, the Money Lending Business Act and the Insurance Business Act, and have extensive experience working for financial institutions. Based on such knowledge and experience, our law office provides a variety of financial regulatory services including advice on supervisory principles, guidelines and other laws and regulations, compliance, and the preparation of legal opinions and memoranda. Based on professional knowledge and experience at financial institutions, our attorneys share our clients’ awareness of the relevant issues and provide practical advice and solutions. In cooperation with PwC’s Blockchain Laboratory and other PwC member firms, we also provide one-stop services that include technological, tax and accounting services for fintech businesses such as security token offerings, non-fungible tokens and other blockchain-based products and services.

Financial transactions

Our experienced attorneys provide support for various financial transactions, including banking, real estate finance, asset finance and other project finance, derivatives transactions, capital markets and more, from the early stages of the project to closing. Our services include structural consideration, the drafting and negotiation of contracts, legal opinions or memoranda, closing support and post-closing matters for various financial transactions. We are also able to provide one-stop services for complex transactions that require tax and accounting treatment, as well as cross-border transactions

Explore our services

Assistance with the creation of a government guidebook

 
 

At the request of the Tokyo Metropolitan Government, and under the oversight of the Financial Services Agency, PricewaterhouseCoopers Aarata LLC and PwC Legal Japan compiled an English-language guidebook which introduces the attractiveness of Tokyo as a financial market and support measures for asset management companies and fintech companies, as well as providing easy-to-understand explanations of Japanese financial laws and regulations and business registration procedures. For more information, please see https://www.pwc.com/jp/en/press-room/guidebook-210514.html.

Collaborative support for introducing new investment guidelines

 

An investment fund management company in the APAC region was acquired by a Japanese financial institution. As a result of this acquisition, the management company and its funds and businesses became subject to Japanese financial regulations that prohibit the subsidiaries and affiliates of certain financial institutions from engaging in certain businesses. Our legal support, through collaboration with other PwC legal firms in the APAC region, and support from our accounting team were essential for the client to formulate their new investment guidelines. By combining our wealth of knowledge on financial regulations and the accounting knowledge of the PwC Japan Group’s assurance practice, we were able to achieve the client's goal.

Collaborative advice on financial regulations pertaining to overseas organisational restructuring

 

A major Japanese financial institution sought advice for restructuring their local business in a given region. They needed to check the applicable financial regulations in that region as well as in Japan. Our attorneys have experience working as in-house counsel for Japan-headquartered global systemically important financial institutions (G-SIFIs), and have sufficient knowledge and experience in financial regulations. In collaboration with the local PwC Legal, we provided legal advice on the applicable financial regulations, such as firewall regulations, for the client's reorganisation and restructuring project in that region. Because the client needed legal advice regarding Japanese financial regulations as well as local financial regulations, our experience with Japanese financial regulations was essential in enabling them to complete this challenging project.

Our team

Tomohiro Kandori
Tomohiro Kandori

Partner, PwC Legal Japan

Makoto Hibi
Makoto Hibi

Director, PwC Legal Japan

Kimiharu Shidara
Kimiharu Shidara

Director, PwC Legal Japan

Kotaro Okamoto
Kotaro Okamoto

Director, PwC Legal Japan