| Practice Areas |
| Financial Regulatory, Regulatory Inspection, Finance, Securitization, M&A, Compliance, Corporate Governance, Bankruptcy and General Corporate |
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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 Laws, 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.
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| Practice Groups |
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Corporate Transaction Group |
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Financial Services & Transactions Group |
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Capital Markets Group |
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Structured Finance Group |
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| Publications |
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"Personal Information Protection and Internal Control," The Nikkan Kogyo Shimbun (October 2008)
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"Shareholder's Right in Management Buyout," Kinyu Shoji Hanrei, No. 1282 (January 2008) (co-author) |
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"Relations between Internal Control Under Financial Instruments and Exchange Law and Compliance System," Junkan Shoji Houmu No. 1796 (April 2007) |
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"Considerations Concerning Securitization and Right of Avoidance under Japanese Laws," Shisan Ryudouka Kenkyu, Vol. IV (April 1998) |
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"Japanese Enterprises with Malfunctioning Internal Control Systems," Keizai Koho (February 1997) |
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"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) |
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"Visa Planning for Japanese Enterprises in U.S.," Kokusai Homu Senryaku (June 15, 1994) |
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"Personnel Directors' Minimum Must-Know Issues and Countermeasures for Sexual Harassment, "Kokusai Homu Senryaku (August 15, 1993) |
| Translations |
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"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) |
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"Employees' Benefits and Welfare Program and Employers' Payment System in the U.S.," NBL Vol. 437 (November 15, 1989) |
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"Employment Issues Surrounding Japanese Enterprises in Japan and U.S. Federal Antidiscrimination Law," NBL 432 (September 1, 1989) |
| Lectures |
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"Fundamentals of the Financial Instruments and Exchange Law for the Legal Staff," Lectured for the seminar organized by the Association of Japanese Corporate Legal Departments (November 2008)
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"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)
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"Appraisal of Internal Control and "Substantial Defect"," Lectured for the seminar organized by the Institute for the Financial Affairs (October 2008)
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"Financial Inspection and Compliance of Real Estate Fund," Lectured for the seminar organized by the Institute for the Financial Affairs (August 2008)
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"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) |
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"Inspection and Compliance Issues for Real Property Fund under the Financial Instruments and Exchange Law," Lectured for the seminar organized by the Institute for the Financial Affairs (February 2008) |
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"Investigation of Asset Management Companies and Compliance under the Financial Instruments and Exchange Law," Lectured for the seminar organized by the Institute for the Financial Affairs (December 2007 and January 2008) |
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"Practical Issues for Activity Regulations under the Financial Instruments and Exchange Law -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) |
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"The 15th Lawyers' Business Restructuring Symposium," Participated as a panelist in the symposium organized by the Japan Federation of Bar Associations (October 2007) |
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"Business Transaction Process under the New Financial Instruments and Exchange Law," Lectured for the seminar organized by Kinki Area Shinkin Banks Association (September 2007) |
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"Business Transaction Process under the New Financial Instruments and Exchange Law," Lectured for the seminar organized by International Bankers Association (September 2007) |
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"Backgrounds of Improper Accounting Process and Internal Control -Internal Control and Compliance System under the Financial Instruments and Exchange Law," Lectured for the seminar organized by Japan Independent Directors Network (July 2007) |
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"Practical Issues for Internal Control Report related to the Corporation Law and the Financial Instruments and Exchange Law," Lectured for the seminar organized by Nihon Keizai Shinbunsha Business School (July 2007) |
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"Operation Process in Securities Companies under Financial Instruments and Exchange Law," Lectured for the seminar organized by the Banking & Securities Research (July 2007) |
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"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) |
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"Operation Process in Securities Companies under Financial Instruments and Exchange Law - Outlines of Proposed Cabinet Office Regulations Focusing on Misconducts," Lectured for the seminar organized by the Banking & Securities Research (June 2007) |
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"Regulations to Collective Investment Scheme," Lectured for the seminar organized by Dai-ni Tokyo Bar Association (April 2007) |
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"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) |
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"Financial Instruments and Exchange Law II - Securities of Listed Companies and Unfair Trading," "Internal Control Reporting Practice Under Financial Instruments and Exchange Law," Lectured for Spring-Term Professional Serial Seminars organized by Dai-ni Tokyo Bar Association (March 2007) |
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"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) |
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"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) |
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Lecturer, Credit Derivatives Seminar organized by Chase Securities Tokyo Branch (December 1998) |
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Lecturer, Cross-Culture Seminar for Personnel Managers, organized by the Japan Chamber of Commerce and Industry of New York (June 1997) |
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"U.S. Mitsubishi Motors Corporation Sexual Harassment Case and Risk Management", Lectured for JETRO New York (October 1996) |
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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) |
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| 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 |
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Japan (1981) |
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New York (1989) |
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Michigan (1990) |
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| Professional and Academic Associations |
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Dai-ni Tokyo Bar Association |
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Member of the Executive Committee, the Japan Business Society of Detroit (January 1993 -April 1995) |
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Member, the Japan Trade Team of the State of Michigan (Appointed by the State Governor) (September 1992 - April 1995) |
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Member, the Selection Committee, the Michigan-Japan Export Promotion Program (1994) |
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Director, Michigan Humanities Society (October 1994 - April 1995) |
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Member, the Management Committee, Dai-ni Tokyo Bar Association (May 1985 - May 1986) |
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Vice Chairman, the Insolvency Law Review Committee, Dai-ni Tokyo Bar Association (April 2000 - March 2002) |
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Chairman, the Legal Practice Committee, Dai-ni Tokyo Bar Association (April 2005 - March 2006) |
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Member, the Advisory Group, Industrial Finance Council, the Ministry of Economy, Trade and Industry (December 2001 - June 2002) |
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Chairman, the Legal Practice Committee, the Securities Investor-Protection Fund (August 2001 - May 2002) |
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Member, the Executive Committee, the Securities Investor-Protection Fund (August 2001 - May 2002) |
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Member, the General Affairs Committee, the Japan Investor-Protection Fund (September 2002 -) |
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Member, Japan Internal Control Association (January 2008 -) |
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Adjunct Lecturer, Hitotsubashi University School of Law (April 2008 -) |
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| Languages |
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Japanese (first language) |
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English |
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