07 March 2022 - 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
‘Revisiting the JFSA Market Entry Office - Why this is an ideal time for financial institutions to expand their business in Japan’, - Apr 2022, co-author
‘Overview of the new exemptions for fund managers operating in Japan’, Oct 2021, co-author
‘Structuring an ESG investment fund’, - July 2021, co-author
‘Overview of the Amendments to Foreign Exchange and Foreign Trade Act of Japan - Listed Securities and Prior Notifications’ - May 2020, co-author
‘An overview of the rules and regulations governing the private placements of fund interests in Japan’ - 4 July 2019, co-author
‘Preparing for the road ahead: The key asset management trends in Asia’, - Apr 2022
‘How investors can stay ahead amidst increased ESG investment considerations in Greater China’, - Feb 2022
‘ESG issues for investment funds and real estate investing in Japan’ - Oct 2021
‘Marketing to Japanese Investors from Abroad - The Foreign Securities Firm Exemption’ - Feb 2021
‘Rules and regulations on capital raising in Japan’ - 22 July 2020
‘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