{"id":249,"date":"2023-02-13T11:46:12","date_gmt":"2023-02-13T11:46:12","guid":{"rendered":"https:\/\/iqeq.com\/jp\/services\/regulatory-compliance-services\/"},"modified":"2026-03-25T09:54:52","modified_gmt":"2026-03-25T09:54:52","slug":"regulatory-compliance-services","status":"publish","type":"service","link":"https:\/\/iqeq.com\/jp\/services\/regulatory-compliance-services\/","title":{"rendered":"Regulatory compliance services"},"content":{"rendered":"
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\n \n Overview <\/p>\n <\/div>\n<\/section>\n\n
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Japan presents both tremendous opportunities and exceptional compliance challenges for financial institutions. Navigating the country\u2019s 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.<\/p>\n

At the core of Japan\u2019s financial regulatory environment is the Financial Services Agency of Japan (JFSA) which is the regulator responsible for the supervision of all financial institutions alongside the Kanto Local Finance Bureau (KLFB) which handles the licensing of and regulatory filings from financial institutions.<\/p>\n

The Japanese government has made great strides in modernising the regulation of the fund management industry through a number of initiatives, such as allowing filings to be made in English. Nevertheless, the process remains complicated, and our bilingual local staff with many years of experience can help reduce the risk of regulatory complications for foreign firms.<\/p>\n <\/div>\n<\/section>\n\n

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$857bn<\/p>\n

assets under administration<\/p>\n <\/div>\n

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30+<\/p>\n

years presence in Asia Pacific<\/p>\n <\/div>\n

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6500+<\/p>\n

people globally<\/p>\n <\/div>\n

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24<\/p>\n

Jurisdictions<\/p>\n <\/div>\n <\/div>\n <\/div>\n<\/section>\n\n

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Key services<\/h2>\n <\/div>\n<\/section>\n\n
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We represent the largest independent regulatory compliance firm in Asia Pacific (APAC) region 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.<\/p>\n

JFSA licence applications<\/strong><\/p>\n

We assist with processing 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.<\/p>\n

Ongoing compliance support<\/strong><\/p>\n

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.<\/p>\n

Fund registrations and filings<\/strong><\/p>\n

We assist with Article 63 filings and renewals in Japan as well as registrations of funds being offered by other placement avenues.<\/p>\n

AML\/CTF and CDD services<\/strong><\/p>\n

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.<\/p>\n

Internal audit, mock inspections, compliance health checks and inspection remediation<\/strong><\/p>\n

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.<\/p>\n

Compliance policies and procedures<\/strong><\/p>\n

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.<\/p>\n

Expert network compliance support<\/strong><\/p>\n

To address the risk of inadvertently receiving and mishandling material non-public information through the use of expert network, we review\/advise on your procedures for due diligence on the expert network, as well as the interactions with the research consultants. We also assist with chaperoning Japanese language expert network calls and writing up detailed notes.<\/p>\n

Compliance training<\/strong><\/p>\n

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<\/a>.<\/p>\n

Research and advisory services<\/strong><\/p>\n

We undertake regulatory tracking to scan important regulatory changes in Japan 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.<\/p>\n <\/div>\n<\/section>\n\n

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Get in touch<\/h2>\n
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