Friday, May 29, 2015

ANALYSIS: An Overview of Japanese Financial Inspections

Christopher P. Wells

Christopher P. Wells
Copyright © 2010 Christopher Wells, White & Case Tokyo Financial Services Group.

In the past five articles of this series, we have focused on describing Japan’s financial services licensing regime, explaining in very general terms the types of financial business registrations available in Japan and the benefits they confer on their holders in providing financial services to residents of Japan. The following articles in this series will focus on the financial inspection process, how to prepare a “readiness package” in advance of a financial inspection, and how to locate and use the resources available in the Tokyo market to address compliance concerns.

This sixth article provides a very general overview of the history and current status of inspections of entities registered to act as financial intermediary businesses (“FIB”) in Japan. Although actual procedures and check items for such inspections vary considerably by type of FIB inspected, this article focuses on certain basic principles that apply generally to all FIBs. The following article in this series will discuss the procedural aspects of Japanese financial regulatory inspections.

1. Historical Background to Financial Inspections
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