The Unibanco Letters - Dual-Hatting Regulations and Global Enforcement
Biographies
Morgan Lewis
Tomoko Fuminaga
Partner
Tokyo
T
+81.3.4578.2503
[email protected]
Steven Stone
Partner
Washington, DC
T
+1.202.739.5453
[email protected]
With a focus on Japanese financial regulatory and fund
matters, Tomoko Fuminaga counsels clients on structuring
investment funds and registering them in Japan. She also
counsels on establishing and operating financial
institutions, including corporate and labor law matters. Her
clients include Japanese and international banking,
securities, and asset management companies.
Additionally, Tomoko represents financial institutions and
other clients on cross-border mergers and acquisitions
transactions and provides legal services in connection with
corporate and anti-monopoly law matters.
Steven W. Stone is a securities lawyer who counsels clients
on regulations governing broker-dealers, investment advisers
and bank fiduciaries, and pooled investment vehicles. Head
of the firm's financial institutions practice, Steve counsels
most of the largest and most prominent US broker-dealers,
investment banks, investment advisers, and mutual fund
organizations. He regularly represents clients before the US
Securities and Exchange Commission (SEC), both in seeking
regulatory relief and assisting clients in enforcement or
examination matters.
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