Financial Services Regulations
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Financial Services Regulations

Financial services are regulated by a number of laws, including the Financial Instruments and Exchange Act, the Banking Act, the Credit Union Act, the Insurance Business Act, the Act on Investment Trusts and Investment Corporations, the Act on the Provision of Financial Services, the Payment Services Act, the Money Lending Business Act, the Act on Prevention of Transfer of Criminal Proceeds, and the Foreign Exchange and Foreign Trade Act. This is a highly specialised area as the applicable laws themselves are complex and frequently amended and a wide range matters, including rules which have not been formalized, discussions between lawmakers, opinions of the supervisory authorities, and practice trends need to be taken into account and it is important that business decisions be checked by lawyers who are familiar with the respective laws and regulations. It is thus essential to have an expert present who can review potentially applicable laws and regulations across the board, especially when proceeding with new financial services. 

City-Yuwa Partners has long provided comprehensive advice to many clients involved in financial services in a variety of situations, including structuring and managing financial products and services, drafting various required documents, obtaining and filing licences and permits, dealing and negotiating with inspections by regulatory authorities, dealing with financial scandals, and developing internal control and compliance systems and is staffed by lawyers with extensive experience and knowledge as experts in all laws and regulations. Further, some of our lawyers have experience of being seconded to supervisory authorities such as the Financial Services Agency and can provide advice based on the stance of such authorities. City-Yuwa Partners is supported by this wealth of human resources and accumulated know-how, enabling us to quickly provide practical advice on the complex legal issues that plague clients in relation to financial services.

Attorneys handling this practices


Advised on the registration of financial instruments business (Type I, Type II financial instruments business, investment management business and investment advisory business) under the Financial Instruments and Exchange Act.
Acted for a US financial institution to perform procedures to register as a high-speed trader under the Financial Instruments and Exchange Act.
Advised on legal reforms related to the introduction of Islamic finance.
Provide continuous legal advice on compliance with the Banking Act and the Financial Instruments and Exchange Act and other laws and regulations concerning banking and other financial-related businesses in Japan.

Related papers, books, newsletters, etc.

Practices of Banking, Finance, Financial Services