The Unibanco Letters - Dual-Hatting Regulations and Global Enforcement
Our Practice
We service more than 100 fund management clients in the United States,
Europe, and Asia
• Most Tokyo clients are asset management firms, but we also do work for
banks, insurance groups, securities firms, and other financial intermediaries
• Our main practice areas include:
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General financial regulatory advice
Licensing and registration of financial intermediaries handling and investing for funds
Making filings in connection with trading activities, capital raising and annual
reporting
• We provide compliance training, "mock" audits, and related services
• We also provide services in certain related practice areas, including:
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- Employment law advice, employment-related documentation, and related matters
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Corporate and branch establishment and maintenance
Real estate (premises leasing) negotiations and renewals
Morgan Lewis
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