Takehiro Shibuya

Takehiro Shibuya is an associate of Anderson Mori & Tomotsune and has extensive experience in financial regulatory issues including the Financial Instruments and Exchange Law and various types of financial transactions. Prior to joining our firm, Mr. Shibuya served as a Securities and Exchange Inspector at the Kanto Local Finance Bureau of the Ministry of Finance for three years, where he was primarily in charge of inspection for financial instruments dealers, examination of insider trading and market operations.

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

Publications:
"How to Handle Violations of the Financial Instruments and Exchange Act - with focus on false disclosure and insider trading" (Shoji Homu 2011) (co-author)
"Outline for handling Administrative Procedures (Part 2)," Junkan Shoji Houmu, No.1929 (April 2011)
"Outline for handling Administrative Procedures (Part 1)," Junkan Shoji Houmu, No.1928 (April 2011)
"2011 Financial Review Part 1 - Impending 10 Business challenges and handling Anti-Social forces," Monthly Kinyu Journal (January 2011)
"Latest Financial Instruments and Exchange Act Guide Book" (Shinnippon-Hoki Publishing Co., Ltd. 2009) (co-author)
"On-site Inspections of Financial Instruments Business Operators in the Age of the Change," Junkan Shoji Houmu, No.1884 (December 2009)
Interview:
A serial article "Law Firm's Financial Services" -
"One of the Largest Japanese Law Firms - Providing Full-range Services," Monthly Kinyu Journal No.635 (December 2009)
Lectures:
"The Current Situation on Antisocial Forces and Important Issues for the Credit Companies," Lectured for the seminar organized by Japan Consumer Credit Association (November 2011)
"Compliance requirements for Sales Managers," Lectured for the 2011 compliance seminar for sales managers organized by Japan Securities Dealers Association (Nagoya/Osaka/Tokyo, October/December 2011)(Tokyo, January 2012)
"Inspection Practice for Professional Funds," Lectured for the seminar organized by the Financial Management Forums, Inc. (July 2011)
"Compliance Issues for the Financial Instruments Business Operators and Key points for Inspection based on recently pointed cases," Lectured for the seminar organized by Stock Research Ltd. (June 2011)
"Issues of Handling a Regulatory Inspection for the Financial Instruments Business Operators," Lectured for the seminar organized by FN Communications, Inc. (May 2011)
"Key Compliance Issues for Sales Staffs," Lectured for the 2010 compliance seminar for sales staffs organized by Japan Securities Dealers Association (Tokyo, January 2011)
"Legal and Compliance," Lectured for the seminar organized by Waseda Business and Information Academy (December 2010)
"Key Compliance Issues for Sales Staffs," Lectured for the 2010 compliance seminar for sales staffs organized by Japan Securities Dealers Association (Nagoya, November 2010)
"Key Compliance Issues for Sales Staffs," Lectured for the 2010 compliance seminar for sales staffs organized by Japan Securities Dealers Association (Tokyo, October 2010)
"Key Compliance Issues for Sales Staffs," Lectured for the 2010 compliance seminar for sales staffs organized by Japan Securities Dealers Association (Tokyo, May and June 2010)
"Compliance Issues for the Financial Instruments Business Operators and How to Handle a Regulatory Inspection," Lectured for the seminar organized by Stock Research Ltd. (May 2010)

・Dai-ichi Tokyo Bar Association
・Worked for Nomura Securities Co., Ltd., April 1995 - October 1997
・Associated with a law firm, October 2003 - December 2005
・Securities and Exchange Inspector, the Kanto Local Finance Bureau of the Ministry of Finance, January 2006 - December 2008

・Japanese (first language)
・English