Regulatory compliance

Certain companies are subject to strong regulatory monitoring and reporting obligations. Their processes and controls must be compliant with applicable local regulations but they may also have to follow foreign regulations as subsidiaries of foreign groups. Costs of these redundant controls can rapidly escalate and slow down the business.

Mazars is a trusted advisor of several large companies for their regulatory compliance questions and is well-recognized with several regulators. Regulatory compliance is a critical issue for industries such as the banking, securities, asset management and insurance industries.

Our services include the review and assessment of the regulatory reporting process in accordance with applicable local rules (i.e. FSA, Bank of Japan, etc.) and global regulations (i.e. Basel II/III, Solvency, etc.). We can also provide AML advisory services and audit, pre-regulator visits training, drafting of compliance documentation in both Japanese and English, etc.

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