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金融セミナーのセミナーインフォ > 過去のセミナー > The Newest Trend on the Financial  Products and Exchange Law and FSA’s Inspection Manual in Japan

The Newest Trend on the Financial  Products and Exchange Law and FSA’s Inspection Manual in Japan

日本における金融商品取引法・金融検査の最新動向
本セミナーは終了致しました。
受講区分 会場
開催日時 2007-11-14(水) 13:30~16:30
講師 Attorney-at-Law
Niimura Sogo Law Office
Eiji Masuda

Eiji Masuda is an attorney-at-law admitted both in Japan and New York, and is a partner at Niimura Sogo Law Office. He received B.A. in Law from Chuo University and L.L.M. from Columbia Law School. After working for one of the biggest law firms in Japan for several years, he experienced being a visiting scholar at Yale Law School, a lecturer at Graduate School of Law, Chuo University, and a General Counsel of legal department (Private Client Group) and Executive Officer at Merrill Lynch Japan Securities Co., Ltd. He handles a full range of corporate matters, especially banking business (Retail), compliance, corporate crimes, and M&A. Currently, he serves as a mediating consultant and a member of the self-regulatory committee in Tokyo District at Japan Securities Dealers Association, a member of a compliance committee for a REIT, and a member of an exploratory committee of several listed companies for defense from hostile TOB.

セミナー詳細 The new Financial Products and Exchange Law (Kinyu Shohin Torihiki Ho, or “FPEL”), which will be enforced in this September, has a great impact not only on the operation of financial institutions but also on the inspection conducted on them by Financial Services Agency (Kinyuu Chou, or ”FSA”) . In this seminar, the lecturer will speak about the newest trend on the impact of the enforcement of the new FPEL on the operation and selling system for financial products as well as internal control system and corporate governance of financial institutions. He will also refer to how financial institutions should prepare for FSA’s Inspection, and will help them secure these systems that will fully meet the new FPEL and FSA’s Inspection Manual.

1.The Relationship between the New FPEL and FSA’s Inspection
(1)Regulations on Financial Businesses and FSA’s Inspection
(2)Codes of Conduct and FSA’s Inspection
(3)The Relationship between Internal Control System and Internal Administrative System and Corporate Governance

2.The Impact of the New FPEL on the Sales Operation of Financial Products by Financial Institutions.
(1)Practical Reminders regarding Special Business Activities of Qualified Institutional Investors
(2)Practical Reminders regarding Codes of Conduct (i.e. Regulation of Advertisement, Obligations to Submit Legal Documents, and Various Prohibited Conducts, etc.).
(3)Practical Reminders regarding Exceptions for Professional Investors
(4)Practical Reminders regarding Disclosure Systems about Collective Investment Scheme Interests
(5)Practical Reminders regarding the Banking Law, Insurance Business Law, and Trust Business Law

3.Some Important Practical Reminders for Foreign Financial Institutions
(1)Practical Reminders regarding Organizational Matters
(2)Practical Reminders regarding Sales Operation
(3)Practical Reminders regarding Target Clientele
(4)Practical Reminders regarding Personnel Affairs

4.Q&A  

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