News & Analysis as of

Market Manipulation Using High Frequency Trading and Issues Facing Japan

Centuries ago, a classic tactic to manipulate prices in the Amsterdam Stock Exchange was to spread false rumors that incoming trading companies’ ships were full of furs and diamonds, in attempt to run up prices. Back then,...more

US Commodity Futures Trading Commission Final Rules for System Safeguards for Japan Uncleared Swap Margin Rules

The U.S. Commodity Futures Trading Commission approved a final rule instituting system safeguards testing requirements for designated contract markets, swap execution facilities, swap data repositories and derivatives...more

Tokyo Dispute Resolution & Crisis Management Newsletter – September 2016

A Sleeping Sword – Protection for Japanese Corporations Investing Outside of Japan - A Guide to International Investment Agreements - Introduction - Over the past twenty years, International Investment...more

The Financial Report, Volume 5, Number 18

The SEC recently adopted new rules that substantially amend Form ADV under the Investment Advisers Act of 1940, as amended (the Advisers Act). Although not as comprehensive as the Form ADV amendments adopted in 2011, the new...more

September 2016 Update on Significant DOT, FAA and Other Federal Agencies’ Aviation-Related Regulatory Actions

This edition of the Cozen O’Connor Aviation Regulatory Update discusses DOT’s selection of carriers to operate U.S.-Havana and U.S.-Tokyo (Haneda) air services, the FAA’s implementation of its small unmanned aircraft...more

GPs Operating in Japan: Follow-Up Information Disclosures for Article 63 Filers Is Required

GPs that operate limited partnerships based on the exemption under Article 63 of the FIEA and have recently completed a renewal filing around the end of the grace period (August 31, 2016) are required to prepare Form 20-2...more

Your daily dose of financial news - The Brief – 9.21.16

Testifying before the Senate Banking Committee yesterday, Wells Fargo CEO John Stumpf admitted that the illegal sham-account-creation activity at the heart of its recent SEC fine may have begun earlier than first reported....more

Inbound M&A in Japan: On the Rise

Japan is rapidly shedding its reputation as a country and economy closed off to foreign investment—and M&A dealmakers have been at the forefront of the inbound transaction resurgence....more

Japan steps into Brexit debate with a message to the UK and the EU

The Japanese government has stepped into the Brexit debate with an unprecedented warning to the EU and the UK, saying that Japanese inbound investment into the UK could be put at risk by Brexit particularly if withdrawal...more

Corporate governance: Tools for the job

Japan's corporate governance reforms hold promise of real change. Local and foreign observers have attributed the low "metabolism" of Japan's economy to the low productivity and comparatively low profitability of many...more

Asia's infrastructure opportunity

Both Japan and China have significantly increased their commitment to invest in Asian infrastructure, but steps must be taken in a number of other areas to unleash the region's full potential....more

Corporate and Financial Weekly Digest - Volume XI, Issue 35

BROKER-DEALER FINRA – Proposes Changes to Its Inter-Dealer Quotation System for OTC Equity Securities – The Financial Industry Regulatory Authority has proposed changes to its inter-dealer quotation system referred...more

Bridging the Week - September 2016

NFA Proposes Requiring CTAs and CPOs to File Certain Financial Ratio Information: The National Futures Association submitted to the Commodity Futures Trading Commission for its approval a new requirement that would mandate...more

Making it big in Asia

Entrepreneurs dreaming of success in Asia-Pacific have several reasons to be optimistic that their hopes may one day translate into reality. Asia is seeing rapid growth in both output and consumption—creating a promising...more

Amendment to Commercial Registration Ordinance, Effective on October 1, 2016, Requires Japanese Companies to Attach a...

On April 20, 2016, the ordinance amending part of the Commercial Registration Ordinance (the Ordinance of the Ministry of Justice No. 32 of 2016) (“Amended Ordinance”) was promulgated and will become effective as of October...more

Checklist for Depositions in Japan

As mentioned in previous blogs, there are extra steps involved when scheduling depositions in Japan. In the interest of assisting paralegals maintain well-organized information regarding all things related to international...more

Second Pokémon Go Alliance Announced: SoftBank

The international phenomenon surrounding the mobile game Pokémon Go has captured the attention of marketers. As we have discussed before, until Niantic, the developer of Pokémon Go, makes sponsorship more readily available,...more

Japan Bar Association Issues New Anticorruption Compliance Guidelines

On July 15, 2016, the Japan Federation of Bar Associations (JFBA) issued new guidance for companies on complying with Japanese and other foreign anti-bribery laws (the “Guidance”). The Guidance comes on the heels of and...more

Your daily dose of financial news - The Brief – 8.23.16

The 2d Circuit has refused the DOJ’s motion for reconsideration of the panel’s May decision overturning a jury verdict and accompanying $1.27 billion fine against Bank of America over its “Hustle” mortgage generation program....more

Emperor Akihito’s Curious Speech

Japanese Emperor Akihito, who is 82 and reportedly in failing health, gave a rare speech this Monday that suggested much more than what he actually said. Emperor Akihito has served in the symbolic position for 27 years and...more

ESMA Advice Extending the AIFMD Passport: Including the United States, Hong Kong, Singapore and Switzerland

On 18 July 2016 the European Securities and Markets Authority (ESMA) published its advice to the European Parliament, the Council and the Commission on the application of the Alternative Investment Fund Managers Directive...more

Renewable Alert Letter 26: Amended FIT Act - COD Cutoff Date and Possibility of Panel Changes

In advance of the Act for Partial Amendment of the Act on Special Measures Concerning Procurement of Electricity from Renewable Energy Sources by Electricity Utilities (2016 Act No. 59) that was established on May 25, 2016...more

Tokyo Dispute Resolution and Crisis Management Newsletter - July 2016

FCPA Best Practices - The Risks Posed by Third Parties and the Importance of Third-Party Audits - Introduction - Since 2010, the United States government has extracted just shy of $5 billion in corporate...more

Your daily dose of financial news - The Brief – 8.2.16

A day-after assessment of the Uber/Didi deal through the lens of another yet tech giant who’s failed to overcome the many obstacles of establishing a meaningful presence in China....more

Top Ten International Anti-Corruption Developments for June 2016

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international anti-corruption developments from the past month, with links to primary...more

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