1. Support for financial instruments business startups, such as registration application procedures addressed to the authorities
We have abundant practical experience, including procedures related to (change) registration applications for investment and advisory agency business, Type II financial instruments business, investment management business, etc., company establishment procedures, internal organization planning, and support for internal rule creation. Professionals will support you carefully.
2. Planning and providingseminars
Through seminars, we can assist you in deeply understanding compliance, internal auditing, and corporate governance in response to inspections by regulatory authorities and to social norms, and creating your corporate culture of compliance.
3 Reviewing your compliance system
We review your current compliance system required as a financial instruments business operator and provide advice on improvement measures.
4 Supporting your internal audit operations
We provide support to the person in charge of internal audit, including the establishment of systems and procedures necessary for conducting appropriate internal audits.
5 Advisory services based on retainer contract
We provide services that meet the needs of our clients, such as advice on regulatory management processes, appropriate enhancements of compliance and support for compliance officers, upon consultation.
6 Other services
Your consultation would be welcomed
Specific Assistance Based on Extensive Practical Experiences
Establishment of an internal compliance system
Procedures related to application for registration with FSA/SESC as financial instruments business operator to conduct Investment Advisory and Agency Business, Type Ⅱ Financial Business and Investment Management Business.
Support for preparation of compliance manuals
Support for preparation of compliance programs
Planning and holding of internal compliance seminars
Support for the establishment and implementation of an internal audit function
Establishment and improvement of internal control systems in asset management companies
Establishment of firewalls
Establishment of Chinese Wall
Establishment of corporate governance system
Establishment of PDCA framework
Training for compliance managers, etc.