Business Support

Legal

Under the leadership of our General Counsel, Akiko Yamahara, Citigroup Global Markets Japan's Legal Department provides the company's business units with expert advice for all legal issues that involve Citigroup Global Markets Japan. We also support the business by providing documentation services in relation to derivatives products, transaction structuring, underwriting and, where necessary, review legal and other critical documentation and provide technical advice tailored for specific situations including those listed below:

General Legal Issues:

• Documentation and review of contracts
• Advice in relation to the drafting and drawing up of internal policies and procedures
• Iinstructing outside counsel and coordinating legal advice
• Cooperation with Citigroup’s global legal departments
• Review of new businesses and products in view of providing advice from a legal perspective

Transaction Structuring:

• Documentation services in relation to the issuance and listing of securities
• Technical advice on capital markets transactions

Derivatives Documentation:

• Documentation of OTC-derivatives products
• Documentation of ISDA Master Agreements

Compliance

Conducting business in compliance with laws, regulations and ethical standards.

Our business depends on the trust of our clients, which is why compliance with rules and regulations is a fundamental practice at Nikko Citigroup. In all respects, ethical conduct is an integral part of our corporate culture.
In today’s rapidly changing social conditions and regulatory environment, we take the initiative in adapting our business in preparation for these changes. The Compliance department gives guidance to management and individual business departments, in addition to interfacing with regulators.
We realize that loss of trust among our clients would be a fatal blow to our company. Our Compliance department help build responsible and ethical businesses by ensuring that all regulations are strictly observed.