AssetManagement /Investment
Funds Practice

Asset Management /Investment Funds Practice
Our Asset Management / Investment Funds Practice Group offers anextensive range of legal services to issuers and investment managers/
advisers, including structuring investment funds, securities offerings, andlegal support to foreign investment funds in the asset management sector.

Our Asset Management / Investment Funds Practice Group comprises
approximately 30 lawyers with years of wide-ranging experience, skills
and knowledge across the asset management sector. We have establisheda leading presence in this field and continue to grow from year to year,
strengthening our position as the "Firm of Choice" for clients. In the last
decade, we have had the largest market share in acting on public offerings
for newly established foreign investment funds in Japan.

M ORI H AMADA & M ATSUMOTO

Our Expertise and Experiences
Our Asset Management / Investment Funds Practice Group is a fully
integrated team of lawyers and paralegals with a dedicated focus on both
domestic and international investment funds work. We offer an array oflegal services to respond to our clientsʼ needs, including investment funds
structuring and securities offerings. We also provide legal advice on theJapanese financial regulatory regimes in relation to all stages of asset
management such as marketing and offering of the securities, ﬁling with
the Japanese ﬁnancial regulator and day-to-day management of the funds.

Our leading Asset Management / Investment Funds practice is supported
by lawyers with a deep understanding of the regulatory, policy andindustry issues impacting the broader asset management industry.
Through secondments of our lawyers to institutions such as the FinancialAsset Management /Investment Funds Practice

Services Agency (the Japanese ﬁnancial authority) and leading investment
managers and banks, we have accumulated in-depth knowledge of themost-advanced regulations and practices and established good working
relationships with key industry organisations.

Our lawyers are supported by a large team of skilled paralegals who
mainly assist in the preparation of disclosure documents, including
periodic registration, as well as the preparation, filing and delivery toinvestors of reporting and offering documents, in respect of investment
funds offered publicly in Japan. We are therefore fully capable of providing
all-round first class services to our clients in a convenient and efficientmanner. This is what sets us apart from other law ﬁrms.

M ORI H AMADA & M ATSUMOTO- 3 -Investment Funds
We provide a full range of services for investment funds at every stage ofthe process including by way of example:- presenting a comprehensive analysis of structuring of investment fundsin Japan;- advising clients on the compliance requirements on public offerings /private placements and marketing of securities;- drafting contracts and assisting in the preparation of various
registration and offering documents, including the securities registration
statement and prospectus;- ﬁling disclosure and regulatory documents on behalf of the issuers ofinvestment funds in respect of their public offerings in Japan; and- providing legal support for:

Asset Management /Investment Funds Practice» post-offering management and administration such as preparation ofperiodic reporting documents in accordance with the applicabledisclosure regulation; and» crisis management in the event of administrative orders or guidanceagainst funds and/or investment managers/advisers.

In addition to domestic investment funds, we provide legal services tooffshore issuers as Japanese legal counsel, assisting in complianceobligations for investment funds established in various foreign jurisdictions
such as Luxembourg, Ireland and the Cayman Islands. We also provide
legal advice and services for structuring exchange traded funds (ETFs)
listed on the Japanese stock exchanges such as the preparation of
disclosure documents and other required documents and the day-to-day
management of such ETFs.

M ORI H AMADA & M ATSUMOTO- 4 -Financial Regulation
Our Group has decades of experience in advising non-Japanese clients on
Japanese financial regulations relating to asset management.

Withsubstantial awareness of the differences between the relevant foreign legal
system and the Japanese regulations as well as up-to-date knowledge ofthe latest laws and regulations in Japan, we are able to provide our clientswith comprehensive and accurate legal advice in asset management. In
addition, our established network of contacts with Japanese financial
authorities such as the Financial Services Agency, the Japan Securities
Dealers Association and the Tokyo Stock Exchange enables us to facilitate
efficient and effective communications between our clients and therelevant authority.

Regulatory Advice

Asset Management /Investment Funds Practice

The regulatory regime on investment funds has become more complicatedin recent years due to frequent amendments to the Financial Instruments
and Exchange Law, the Investment Trusts and Investment Corporations
Law and other relevant laws relating to asset management. Furthermore,investment funds domiciled in overseas countries are required to satisfy
certain soft laws including the requirements by the Japan Securities
Dealers Association on public offerings. In light of this, we offer robust
solutions to support clients in handling these multi-tiered regulations.

Registration support
We assist clients in establishing and registering as investment managers,
investment advisers, and Type 1 and Type 2 ﬁnancial instruments businessproviders. We also provide support by filing notifications for qualified
institutional investor exemption.

M ORI H AMADA & M ATSUMOTO- 5 -Awards and Rankings
Featured here are just some of the many awards and industry-related rankingsreceived by the Asset Management / Investment Funds Practice Group and its
individual members.

Chambers
Asia Paciﬁc 2024

The Legal 500
Asia Paciﬁc 2024

Mori Hamada & Matsumoto is ranked

Mori Hamada & Matsumoto is ranked

in Band 1 in the Investment Funds

in Tier 1 in the Investment Funds

area, and the following lawyers

area in Japan for the sixth year inare evaluated highly by Chambers

a row. The lawyers named below

Asia Paciﬁc 2024.

are evaluated highly by The Legal
500 Asia Paciﬁc 2024.

Investment Funds
Band 1Investment FundsYasuzo Takeno
Ken Miura
Nobuharu Onishi

Leading Individuals

Yasuzo Takeno
Ken Miura
Nobuharu Onishi"Chambers" is a ranking survey conducted by Chambers & Partners to evaluate law ﬁ rms and lawyers acrossthe globe, based on interviews with their clients and details of legal matters. Of more than 20,000 in-houselawyers surveyed by International In-house Counsel Journal, 51% answered that Chambers & Partners was
the resource they used most often when searching for evaluations of law ﬁ rms and lawyers.

M ORI H AMADA & M ATSUMOTO- 6 -M ORI H AMADA & M ATSUMOTO

Public Relations
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