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Tomoaki Ikenaga

Partner
  1. 81-3-6888-1070
  2. 81-3-6888-3070
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Practice

As the former General Counsel of a major financial conglomerate, Tomoaki Ikenaga was involved in the fields of regulatory issues, regulatory investigation and inspection, international finance and securitization, compliance and corporate governance matters. With such experience, he currently specializes in providing professional and practical advices to clients in relation to regulatory laws and regulations, financial and derivative transactions, regulatory investigation, internal control and Tender Offer Bid.

In relation to matters concerning Financial Instruments and Exchange Acts, Mr. Ikenaga has advised various major banks, security firms, insurance companies, asset management companies and real property funds. In addition, he has delivered a number of in-house and external seminars organized by economic groups.

Mr. Ikenaga also assists financial institutions and operating companies in the external auditing of compliance measures and advises clients in organizing internal control systems.

Practice Groups

・Corporate Transaction Group
・Financial Services & Transactions Group
・Capital Markets Group
・Structured Finance Group

Publications/Lectures

Publications
"Insider trading regulation Working Group report review and its impact on banking practice," Kinyu (March 2013)
"Examination and procedure per process of investment funds" (Kinzai Institute for Financial Affairs, Inc. 2013) (co-author)
"A guide to handling of "exits" under the SME Finance Facilitation Act" (Shoji Homu 2013) (co-author)
"The International Comparative Legal Guide to: Corporate Recovery & Insolvency 2012," (Japan Chapter) (Global Legal Group) (July 2012) (co-author)
"Finance Scheme for Reconstruction of Damaged Enterprise - Development of Assistance Program for Middle and Small Business Corporations-," Kinyu Houmu Jijyo (October 2011)
"Corporate support measures by restructuring funds in disaster-stricken areas," Ginko Eigyo Suishin (September 2011)(co-author)
"Practical Points for companies and the simplification of internal control report which complies with the financial report credibility," Gekkan Kansayaku, Vol.586 (July 2011)
"The International Comparative Legal Guide to: Corporate Recovery & Insolvency 2011," (Japan Chapter) (Global Legal Group) (July 2011) (co-author)
"Practical Points on Selling Financial Products in ADR Cases," Ginko Jitsumu (May 2011) (co-author)
"Meguro Ward Comprehensive External Audit Report 2010" (March 2011) (co-author)
"The International Comparative Legal Guide to : Corporate Recovery & Insolvency 2010," (Japan Chapter) (Global Legal Group) (July 2010) (co-author)
"Financial Instruments and Exchange Act (Second Volume) Vendor Regulation," (Kinzai Institute for Financial Affairs, Inc. 2009) (co-author)
"In-House Lawyer" (Shoji Homu 2009) (co-author)
"ANALYSIS Take Over Bid" (Shoji Homu 2009) (co-author)
"The International Comparative Legal Guide to : Corporate Recovery & Insolvency 2009," (Japan Chapter) (Global Legal Group) (June 2009) (co-author)
"Internal control report under J-SOX," Securities Law Committee Newsletter, International Bar Association (April 2009)
"Latest Financial Instruments and Exchange Act Guide Book" (Shinnippon-Hoki Publishing Co., Ltd. 2009) (co-author)
"Conflict of Interest under Financial Transaction," NBL Additional Volume 125 (April 2009)
"Conflict of Interest under Financial Transaction (3) - Chinese Wall (1)(2)(3)," NBL, No. 894, 897, 899 (December 2008-February 2009)
"Personal Information Protection and Internal Control," The Nikkan Kogyo Shimbun (October 2008)
"Shareholder's Right in Management Buyout," Kinyu Shoji Hanrei, No. 1282 (January 2008) (co-author)
"Relations between Internal Control Under Financial Instruments and Exchange Act and Compliance System," Junkan Shoji Houmu No. 1796 (April 2007)
"Considerations Concerning Securitization and Right of Avoidance under Japanese Laws," Shisan Ryudouka Kenkyu, Vol. IV (April 1998)
"Japanese Enterprises with Malfunctioning Internal Control Systems," Keizai Koho (February 1997)
"Legal Issues Concerning U.S. Structured Finance and Asset Securitization," Kokusai Shoji Homu (December 1996, January, April, May, July, August, September and November 1997, January and February 1998)
"Visa Planning for Japanese Enterprises in U.S.," Kokusai Homu Senryaku (June 15, 1994)
"Personnel Directors' Minimum Must-Know Issues and Countermeasures for Sexual Harassment, "Kokusai Homu Senryaku (August 15, 1993)
Translations
"Guide Book for U.S. Company Directors," Kokusai, Shoji Homu, (April-June 1996) (co-translation) (Reproduced as "Directors' Responsibilities in Japan, U.S. and Germany," Shoji Homu Extra Issue, Vol. 190)
"Employees' Benefits and Welfare Program and Employers' Payment System in the U.S.," NBL Vol. 437 (November 15, 1989)
"Employment Issues Surrounding Japanese Enterprises in Japan and U.S. Federal Antidiscrimination Law," NBL 432 (September 1, 1989)
Lectures
"Recent discussion of the insider trading system review and its compliance tasks," Lectured for the seminar organized by the Japanese Bankers Association (January 2013)
"Supporting the Revitalization of Small to Mid-Sized Enterprises After the Great East Japan Earthquake," Acted as speaker for the conference entitled "International Bar Association Annual Conference" organized by IBA (International Bar Association) (October 2012)
"Enterprise support measures for victims of the East Japan Great Earthquake from a lawyer's point of view," Lectured for the seminar organized by the Reconstruction Entrepreneur Support Committee (May 2012)
"A year since the East Japan Great Earthquake - The future and steps for disaster assistance," Participated as a panelist in the symposium organized by the Japan Federation of Bar Associations (March 2012)
"On the East Japan Great Earthquake Enterprise Turnaround Support Corporation", Lectured for the seminar organized by the Japan Federation of Bar Associations, Sendai Bar Association and Iwate Bar Association (November 2011)
"Economy and Law regarding reconstruction support for 2011 Tohoku Great Earthquake," Lectured for the seminar organized by the Ministry of Justice (September 2011)
"Seminar on Multiple Loans ~Comparative reviews of support measures for victims of the East Japan Great Earthquake by Democrat, Liberal Democrat and Komeito parties~," Lectured for the seminar organized by the Ishinomaki Business Committee for Relief and Job Relief, Inc. (July 2011)
"Internal control and audit of auditors in group companies ~ focusing on relationship between a parent company and its subsidiaries~," Lectured for the seminar organized by Japan Corporate Auditors Association (October 2010)
"Improvement of Corporate Value by Internal Control Reporting System ~further evolution of the system," Participated as a reporter and panelist organized by Japan Internal Control Association (JICA)(September 2010)
"Activities for Internal Control Working Group and Issues of Internal Control Report System," Lectured for the seminar organized by Japan Association of Corporate Directors (May 2010)
"Practical Points of Audit on Internal Control Over Financial Reporting (ICFR) ~ mainly regarding practice for auditor staff ~," Lectured for the seminar organized by Japan Corporate Auditors Association (February and March 2010)
"Appraisal of Internal Control and "Substantial Defect"," Lectured for the seminar organized by the Institute for the Financial Affairs (January 2009)
Acted as speaker for the conference entitled "An Insider View of Japan’s Economy" organized by the Australian Trade Commission (Austrade) and Mallesons Stephen Jaques (November 2008)
"Fundamentals of the Financial Instruments and Exchange Act for the Legal Staff," Lectured for the seminar organized by the Association of Japanese Corporate Legal Departments (November 2008)
"Amendments to the Events of Default and Termination Events" and "Netting opinions," Acted as speaker for the conference entitled "Understanding the ISDA Master Agreements" organized by ISDA (International Swaps and Derivatives Association, Inc.) (November 2008)
"Appraisal of Internal Control and "Substantial Defect"," Lectured for the seminar organized by the Institute for the Financial Affairs (October 2008)
"Financial Inspection and Compliance of Real Estate Fund," Lectured for the seminar organized by the Institute for the Financial Affairs (August 2008)
"Internal Control Reports and the Role of Internal Control as Seen in the Case of Accounting Correction," Lectured for the seminar organized by the Institute for the Financial Affairs (July 2008)
"Inspection and Compliance Issues for Real Property Fund under the Financial Instruments and Exchange Act," Lectured for the seminar organized by the Institute for the Financial Affairs (February 2008)
"Investigation of Asset Management Companies and Compliance under the Financial Instruments and Exchange Act," Lectured for the seminar organized by the Institute for the Financial Affairs (December 2007 and January 2008)
"Practical Issues for Activity Regulations under the Financial Instruments and Exchange Act -Practical Points for Specified Investor System and Sales and Soliciting Rules-," Lectured for the seminar organized by the Institute for the Financial Affairs (October 2007)
"The 15th Lawyers' Business Restructuring Symposium," Participated as a panelist in the symposium organized by the Japan Federation of Bar Associations (October 2007)
"Business Transaction Process under the New Financial Instruments and Exchange Act," Lectured for the seminar organized by Kinki Area Shinkin Banks Association (September 2007)
"Business Transaction Process under the New Financial Instruments and Exchange Act," Lectured for the seminar organized by International Bankers Association (September 2007)
"Backgrounds of Improper Accounting Process and Internal Control -Internal Control and Compliance System under the Financial Instruments and Exchange Act," Lectured for the seminar organized by Japan Independent Directors Network (July 2007)
"Practical Issues for Internal Control Report related to the Corporation Law and the Financial Instruments and Exchange Act," Lectured for the seminar organized by Nihon Keizai Shinbunsha Business School (July 2007)
"Operation Process in Securities Companies under Financial Instruments and Exchange Act," Lectured for the seminar organized by the Banking & Securities Research (July 2007)
"New Challenge for Business Management, Corporate Legal Affairs and Legal Counsels -Compliance Issues and Internal Control- ," Acted as panelist for the symposium organized by Japan Federation of Bar Associations and Ministry of Justice, co-organized by Japan Economic Federation and Japan Chamber of Commerce and Industry and sponsored by Japan Association of Corporate Executives (June 2007)
"Operation Process in Securities Companies under Financial Instruments and Exchange Act - Outlines of Proposed Cabinet Office Regulations Focusing on Misconducts," Lectured for the seminar organized by the Banking & Securities Research (June 2007)
"Regulations to Collective Investment Scheme," Lectured for the seminar organized by Dai-ni Tokyo Bar Association (April 2007)
"Relations between Japanese Sox Act and Compliance System - Are There Any Blind Spots in Sox Act Measures?," Lectured for the seminar organized by the Banking & Securities Research (March 2007)
"Financial Instruments and Exchange Act II - Securities of Listed Companies and Unfair Trading," "Internal Control Reporting Practice Under Financial Instruments and Exchange Act," Lectured for Spring-Term Professional Serial Seminars organized by Dai-ni Tokyo Bar Association (March 2007)
"DIP Finance," Acted as moderator for the lecture co-organized by Tokyo Bar Association, Dai-ichi Tokyo Bar Association and Dai-ni-Tokyo Bar Association (April 2001)
"Forum for Exchanging Views Concerning DIP Finance," Acted as moderator for the forum co-organized by Tokyo Bar Association, Dai-ichi Tokyo Bar Association and Dai-ni-Tokyo Bar Association (November 2000)
Lecturer, Credit Derivatives Seminar organized by Chase Securities Tokyo Branch (December 1998)
Lecturer, Cross-Culture Seminar for Personnel Managers, organized by the Japan Chamber of Commerce and Industry of New York (June 1997)
"U.S. Mitsubishi Motors Corporation Sexual Harassment Case and Risk Management", Lectured for JETRO New York (October 1996)
Lectured at the labor and employment seminar for new local representatives of Japanese enterprises, organized by the Japan Chamber of Commerce and Industry of New York (December 1995)

Education

Waseda University (LL.B., 1977); The Legal Training and Research Institute of the Supreme Court of Japan, 1979-1981; graduate study, Cornell Law School (LL.M., 1988). Associated with Baer Marks & Upham, September 1988 - August 1989.

Professional Admissions

Japan (1981)
New York (1989)
Michigan (1990)

Professional and Academic Associations

・Dai-ni Tokyo Bar Association
・Member of the Executive Committee, the Japan Business Society of Detroit (January 1993 -April 1995)
・Member, the Japan Trade Team of the State of Michigan (Appointed by the State Governor) (September 1992 - April 1995)
・Member, the Selection Committee, the Michigan-Japan Export Promotion Program (1994)
・Director, Michigan Humanities Society (October 1994 - April 1995)
・Member, the Management Committee, Dai-ni Tokyo Bar Association (May 1985 - May 1986)
・Vice Chairman, the Insolvency Law Review Committee, Dai-ni Tokyo Bar Association (April 2000 - March 2002)
・Chairman, the Legal Practice Committee, Dai-ni Tokyo Bar Association (April 2005 - March 2006)
・Member, the Advisory Group, Industrial Finance Council, the Ministry of Economy, Trade and Industry (December 2001 - June 2002)
・Chairman, the Legal Practice Committee, the Securities Investor-Protection Fund (August 2001 - May 2002)
・Member, the Executive Committee, the Securities Investor-Protection Fund (August 2001 - May 2002)
・Member, the General Affairs Committee, the Japan Investor-Protection Fund (September 2002 - August 2006)
・Member, Japan Internal Control Association (January 2008 - present)
・Adjunct Lecturer, Hitotsubashi University School of Law (April 2008 - present)
・External Auditor, Meguro Ward, Tokyo (April 2009 - March 2011)
・Mediator, Financial Instruments Mediation Assistance Center (February 2010 - present)
・Member, the Governing Council, Japan Investor Protection Fund (July 2010 - present)
・Independent Member, the Oversight Committee, Moody's (Japan) K.K. and Moody's SF Japan K.K.(September 2010 - present)
・Member, Committee on Independent Director, Japan Association of Corporate Directors (April 2011 - present)
・Member, Committee on Corporate Legislation, Japan Association of Corporate Directors (May 2011 - present)
・Member, Headquarters for Countermeasures against the Great East Japan Earthquake and Nuclear Power Plant Accident (September 2011- present)
・Expert member, Financial System Council, Financial Services Agency (July 2012 - present)
・Member, Working Group on Insider Trading Regulations, Financial Services Agency (July - December 2012)

Languages

・Japanese (first language)
・English