The Unibanco Letters - Dual-Hatting Regulations and Global Enforcement

Agenda 1. Overview of securities regulations relevant to asset management and fund distribution in Japan 2. Regulation of capital-raising activities in Japan by foreign fund managers 3. Use of article 63 to distribute fund securities in Japan 4. Establishment of a presence in Japan: forms of organization, establishment of an office, and FIBO registration 5. Insider trading considerations in Japan 6. Cross-border services - US regulation 7. UK regulation Morgan Lewis 2

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