Authorities investigation / response to authorities and risks that may occur to companies Part 2 -Focusing on surcharge investigations-

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When you hear about insider trading, do you think, "It's none of my business as a non-stockbroker"? One day, the Financial Services Agency / Securities and Exchange Surveillance Commission (SESC) may suddenly come to your company for the purpose of investigation. What should we do in such a case? Why did SESC come to your company in the first place? I will explain the points in two videos, along with common misunderstandings about insider trading regulations and risks that can occur to companies.

In Part 2, I will explain the risks that can occur to companies.

lecturer

Atsumi & Sakai
Crisis Management Practice Group Associate Yuki Omae Attorney

Registered as a lawyer in 2017 after working at the Osaka High Court and the Osaka District Court (court clerk and court clerk).At Kyowa Sogo Law Office (Osaka Office), he deals with a wide range of cases such as labor cases (employer side), intellectual property cases, administrative litigation (local public organization side), bankruptcy cases, and non-life insurance relations. From April 2020 to March 4, the Financial Services Agency / Securities and Exchange Surveillance Commission will conduct a surcharge investigation, trial, and trial (administrative litigation) regarding domestic and foreign unfair trading (insider trading, market manipulation, HFT trading, etc.). ) Engaged.In parallel with these, he studies the surcharge system (including the Financial Instruments and Exchange Act as well as the Antimonopoly Act), the surcharge level, and the privilege of concealing lawyers. Since April 2022, he has been working in Atsumi Sakai Law Office / Foreign Law Joint Business.

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Atsumi & Sakai

Atsumi Sakai Law Office / Foreign Law Joint Office is the first domestic law firm to launch a foreign law joint business in a completely independent manner, and is a compliance & risk / Crisis Management Practice) is a compliance department of more than 10 former prosecutors (including those who have worked in the Ministry of Justice / Special Investigation Department), the Consumer Affairs Agency, regulators, and financial institutions / business companies that have jurisdiction over the Whistleblower Protection Act. It is composed of members with various back brands and knowledge, such as lawyers who have work experience and lawyers who are qualified as certified accountants.Without being biased toward fraud investigation, we also make full use of innovative methods to deal with issues related to compliance, risk management, corporate governance, etc. faced by clients, and support the prevention of damage to corporate value and early recovery.