Our services for investment companies include:

• Advising on responses to regulatory inspections and enforcement actions by financial supervisory authorities
• Providing guidance on internal compliance matters
• Assisting with licensing and registration processes with financial regulators
• Structuring and advising on transactions involving financial investment company participation 
• Delivering legal solutions for the development, distribution, and management of new investment products
• Supporting updates to internal control systems, including internal regulations, in line with amendments to capital markets laws and regulations
• Assisting with requests for authoritative interpretations of capital markets laws and regulations
• Conducting comparative research on foreign legal systems (e.g., the United States and Japan) and coordinating with international law firms

• Advising on and responding to regular and ad hoc inspections by financial supervisory authorities
• Representing clients in inspection and sanction proceedings concerning violations of internal control requirements under the Act on Corporate Governance of Financial Companies
• Advising on inspections, enforcement actions, and related litigation involving alleged mis-selling of financial investment products
• Assisting with the licensing and registration of financial investment businesses
• Advising on the operations of comprehensive financial investment business operators
• Supporting the establishment, registration, management, and transaction structuring of (institutional) private equity funds (PEFs)
• Advising on approvals for changes in major shareholders and equity ownership under the Act on the Structural Improvement of the Financial Industry, as well as related registrations and reporting obligations
• Assisting with the establishment and operation of new technology business investment partnerships
• Advising on information barrier (Chinese wall) requirements and conflict-of-interest prevention under the Financial Investment Services and Capital Markets Act
• Providing guidance on compliance with the Foreign Exchange Transactions Act
• Representing clients in investigations involving alleged unfair trading practices, including insider trading and market manipulation, as well as violations of disclosure obligations such as failure to file securities registration statements