17 September 2021 - Article
Represented numerous top tier hedge fund managers and private equity fund managers with respect to rules and regulations applicable to capital raising activities in Japan. Scope of such regulatory advice included submission of filings and registrations applicable to Japan offerings with the Financial Services Agency of Japan.
Advising fund managers regarding the rules and regulations of Japan with respect to Japan exchange trades, including Block Shareholding Reports; Short Selling (including Japan Regulation M), Insider Trading; Shareholder Proposals, etc.
Assisted clients in registering as financial instruments business operator in Japan (Type 1, Type 2, Investment Manager, and Investment Advisor).
Advised some of the leading high financial institutions with their registration as a high speed trading operator in Japan.
New York State Bar, 2002
Dai-ni Tokyo Bar Association, 2013
‘Structuring an ESG investment fund’, The Business Times - July 2021, co-author
‘An overview of the rules and regulations governing the private placements of fund interests in Japan’ - 4 July 2019, co-author
‘Marketing to Japanese Investors from Abroad - The Foreign Securities Firm Exemption’ - 11 Feb 2021, presenter
‘Rules and regulations on capital raising in Japan’ - 22 July 2020, presenter
‘What is the impact of the JFSA registration procedure for HFTs?’, Panel Participant at the Financial Information Services Association of the SIIA – 13 Sept 2018, panellist
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16 September 2021 - Article
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