Regulatory compliance services

Japan presents both tremendous opportunities and exceptional compliance challenges for financial institutions. Navigating the country’s intricate regulatory framework is essential for ensuring the long-term viability and success of any banking, asset management, or securities firm seeking to establish a presence in the dynamic landscape.

At the core of Japan’s financial regulatory environment is the Financial Services Agency of Japan (JFSA) which is the regulator responsible for the supervision and authorisation of all financial institutions.

We represent the largest independent regulatory compliance firm in Asia with extensive experience in compliance consulting. We allow you to focus on what you do best by handling the rest. Plan your strategies and expansion with ease knowing our global team will be with you every step of the way. Explore our services below to discover how we can reduce your regulatory risks and address your compliance needs so your business can thrive.

Licence applications

We process Type I and Type II financial Instruments business licence, investment management business licences and investment advisory and agency business licences with the Kanto Local Finance Bureau in Tokyo.

Ongoing compliance support

We implement your compliance programme, covering governance and senior management responsibilities, regulatory correspondence, notifications and submissions, employee certifications, fitness, properness and ethics, horizon scanning and regulatory updates, monitoring regulatory financial and capital adequacy, operational resilience and internal controls reviews, anti-bribery and corruption measures and client categorisation and suitability.

AML/CTF and CDD services

We offer comprehensive client onboarding services covering know your customer (KYC) and customer due diligence (CDD) procedures, sanctions, PEP and adverse media screening, anti-money laundering (AML) policies and procedures, AML audits and remediations and the provision of MLRO and AMLCO services for Cayman Islands funds.

Internal audit, mock inspections, compliance health checks and inspection remediation

We undertake internal audits, mock regulatory inspections, and compliance health checks providing recommendations for improvements and support you through the regulatory inspection and remediation processes.

Compliance policies and procedures

We draft and customise all types of compliance and internal compliance manuals, operational and procedural manuals, risk management frameworks and internal controls documentation such as business continuity plans.

Compliance training

We offer specialist online training for employees, senior management, and Boards to meet their regulatory continuous professional development obligations and expand their regulatory knowledge. To learn more about our training services, please contact us.

Research and advisory services

We undertake regulatory tracking to scan important regulatory changes in Asia as well as globally to analyse changes that may affect your business. We guide you through regulatory changes that you may need to implement and maintain guides on important compliance topics. Examples of this include cross-border marketing rules, accredited investor rules, insider dealing rules and AML and CTF/CFT rules.

ESG consulting

We offer specialised ESG compliance services for asset managers to meet the regulatory expectations on climate risk management including drafting frameworks, policies and procedures, relevance and threshold assessments, investor disclosures and UN PRI filings.

• One dedicated team
• Unrivalled technical expertise
• Committed service delivery

Regulatory expertise: We boast a team of over 100 compliance experts in Asia. We’re at the forefront of regulatory changes, proactively monitoring shifts in the regulatory landscape, ensuring compliance amidst regulatory evolution

Global presence: Our regulatory compliance services cover various jurisdictions, providing clients with comprehensive solutions that align with international standards while considering local nuances

Proven track record: Beyond regulatory compliance, we excels in the broader fund and investor services, with an unrivalled offering to meet the administration, compliance and reporting needs, providing clients with integrated solutions that cover the entire fund lifecycle

Client-centric approach: We prioritise a client-centric approach, recognising the unique needs of each client, and providing customised compliance solutions

You can trust us to help you navigate the ever-changing international regulatory landscape in line with your firm’s needs and obligations.