Masato Yamanaka

Mr. Yamanaka’s practice focuses on finance law and corporate law related matters, including regulation of financial institutions and general corporations, securitization and liquidation, collective investment schemes, as well as disclosure in primary and secondary securities markets, and derivative transactions. His practice also covers a number of litigation related to financial products.

Publications, presentations and articles

I. Securities Regulation, Securities Litigation

• “Defence Strategy against US Class Action: Securities Class Action(1)(2)” Business Law Journal, Jan & Feb 2018
• “Need for Self-Regulatory and Aggressive Securities Market Regulations” The Japan Business Law, May 2006
• “Financing Scheme (Moving Strike Convertible Bond) Used by Livedoor and Lehman Brothers,” The Japan Business Law, May 2005
• Co-author, “Case Study of Ministerial Ordinance concerning Securities Companies: An Examination of Cases where Sanctions were Imposed by the Financial Services
• Agency Regarding EB Bond/Provision of Special Benefit,” Commercial Law Review, March 2003

II. Trust, Investment Trust, Investment Advisory Business, Fiduciary Duty

• “Legal and Practical Issues of Life Insurance Trust” Shintaku Forum vol.5, March 2016
• “Points to Note for Sale of Inventment Trust – How to Act If a Distributing Company (Hanbai Kaisha) Finds an Inadequate Prospectus- Analysis Based on Tokyo High
• Court Decision Regarding Investment Trust with Monthly Dividend dated Janurary 26, 2015” Ginko Homu21 No. 788, July 2015
• “Consideration on Accountability of Investment Trust Management Companies – Based on Tokyo District Court Evaluation Regarding Monthly Dividend Type
• Investment Trust dated March 11, 2014” Kinyu Homu Jijo No. 2006, November 2014
• “Fiduciary Duty of Asset Management Companies under Japanese Law,” Jurist, December 2003
• Co-author, “Investment Trust with Only One Beneficiary and Investment Trust Investing in Only One Investment (Volume I and Volume II),” Kinyu Homu Jijo Nos. 1671 and 1672, April 2003
• Co-author, “Theoretical Inquiries on Duty of Explanation with respect to MMF and other Investment Trusts,” Kinyu Homu JijoNo. 1642, May 2002
• “Loss of Principal of MMF (Money Market Fund) and Accounting for Investors: Accountability of Investment Trust Management Companies and Distribution
• Companies,” Kinyu Homu Jijo No. 1630, December 2001
• “Inquiries on Various Concepts about Investment Trust,” Kinyu Homu Jijo No. 1575, April 2000

III. Derivatives

• “Soccer Lottery (“TOTO”) and New Types of Derivatives,” Kinyu Homu Jijo No. 1609, April 2001
• Co-author, “Derivatives Transactions under Financial System Reform Laws (1) – (4),” Kinyu Homu Jijo Nos. 1539 -1543, February – April 1999

IV. Corporate Law

• “Legal Issues on Protection against Hostile Takeovers (Volumes I and II),” The Japan Business Law, November and December 2005
• “Unification of Kabushiki Kaisha and Yugen Kaisha: Goudou Kaisha and LLP,” Zeimu Koho, February 2005
• All about the New Corporate Law Code: Q&A, Chuokeizai-sha, Inc., 2005

V. Securitization

• “Fundamental Concepts of Investment Management Business in Financial Instruments and Exchange Act – Real Estate Fund of Securitization Type-” Kinyu Homu Jijo No. 1825, February 2008
• “New Company Law and SPCs in Securitization,” Kinyu-Homu-Jijo No. 1767, April 2006
• “Effect brought onto the Practice of Securitization and Business Reorganization by New Laws in Japan,” New Business Law, December 2004

VI. Personal Information Protection Law

• “Personal Information Protection Law: How to Address Issues Related to Delegates,” The Japan Business Law, February 2005

VII. Bankruptcy Law

• Co-author, All about the New Bankruptcy Law Promulgated on June 2, 2004, Chuokeizai-sha, Inc., 2004

VIII. Others

• “Federal and State Law Systems in USC concerning Management of Lease and Rental Housing,” The Japanese Journal of Real Estate Sciences No. 93, September 2010
• “Responsibility of Rookie Lawyer Causing Losses by Giving Bad Advice to a Client,” The Japan Business Law, January 2004
• “Rights and Obligations Represented by the Bill of Landing,” Keiri-joho, October 2003
• “Practice for the Right to Complete Blank Checks,” Keiri-joho, March 2003

Presentations

Masato Yamanaka holds many lectures and seminars about securities regulations, investment trusts, private funds, trust beneficial interests, derivatives, FX margin transations etc.

Admission

• 1998　Dai-ni Tokyo Bar Association
• 2011　New York State, USA
• 2016　Certified Trust Practitioner (Japan)
• 2017　Washington D.C., USA

Education

• 1996　Graduation from Waseda University (LL.B.)
• 2009　Graduation from University of Pennsylvania Law School (LL.M.)

Professional Career

• Apr 1998 – Sep 2002 Mitsui, Yasuda, Wani & Maeda
• Oct 2002 – May 2007 Asahi & Koma Law office
• May 2007 – Dec 2017 Baker & McKenzie (Partner)
• Jan 2018 – present Koma Glocal Law Office (Partner)
• Secondment
• Sep 2009 – Dec 2009 Baker McKenzie New York Office
• Jan 2010 – Mar 2010 Marsh & McLennan Companies, Inc. (Legal Department)
• Apr 2010 – Dec 2011 Sumitomo Mitsui Banking Corporation, New York Branch (Specialized Finance Department)

Others

• Ippan Shadan Hojin Civil Trust Promotion Center (Former Inspector)
• Japan Israel Chamber of Commerce (Auditor)
• Japan Curling Association (Legal Counsel, Compliance Committee Member)
• Japan Balloon Federation (Legal Counsel)
• Bambitious Nana (Basketball) (Legal Counsel)
• VC Nagano Create Sports(Volleyball) (Statutory Auditor)
• Aomori Watts (Basketball) (Statutory Auditor)
• Tokyo Summary Court (Mediator)
• External Director of Japanese Type II Financial Instruments Business Operator
• Passed the Palau Law Essay Exam at Palau Bar Exam in 2015 (but failed to pass MPT exam)