In conducting business operations, it is very important to establish a robust risk management and compliance framework to prevent unintended misconduct. In the event that misconduct or an incident does occur, it is essential to promptly and appropriately ascertain the relevant facts, implement initial response measures to prevent further damage, and conduct a thorough root cause analysis followed by the implementation of effective measures to prevent recurrence, thereby minimizing any impairment of corporate value and loss of public trust. In today’s increasingly globalized and complex business environment, once a crisis arises, any delay or misstep in response may pose a risk to the very continuity of the business.
ZeLo provides comprehensive support, including managing communications with stakeholders and the media, conducting investigations into misconduct, preparing explanations and reports for stock exchanges and regulatory authorities, handling negotiations and litigation regarding officer liability, and assisting with both the implementation of recurrence prevention measures and the establishment of routine compliance frameworks.
Practice Areas
Compliance System Support
- Internal Training
- Compliance training for employees.
- Corporate governance and crisis response training for officers.
- Training on the prevention of various forms of harassment.
- Compliance training based on past incidents of misconduct.
- Customized training tailored to specific laws and compliance requirements of individual companies.
- Whistleblowing Services
- Consulting on the establishment of internal reporting systems.
- Drafting internal reporting regulations.
- Providing outsourced whistleblowing hotline services.
- Implementation of introductory and periodic internal training.
- Advisory services on investigations and disciplinary actions following a report.
- Other Structural Support
- Introduction, maintenance, and improvement of internal regulations.
- Monitoring operations based on regulations and addressing deficiencies.
- Verifying the appropriateness of related-party transactions.
- Drafting and implementing work rules aligned with employment policies and corporate culture.
- Support for the establishment and operation of labor management systems.
Internal Investigations
- Internal Investigations
- Crisis management and investigation of misconduct (including fraudulent accounting) for both listed and unlisted companies, including root cause analysis and the development of recurrence prevention measures.
- Investigations and accountability measures regarding harassment, embezzlement, fraud, and other criminal acts by officers or employees.
- Support for utilizing leniency programs under various laws and regulations.
- Support for the implementation of recurrence prevention measures for listed companies and those preparing for an IPO (including those in the application process).
Labor and Personnel Affairs
- Labor and Personnel Affairs
- Handling unpaid overtime claims.
- Addressing workplace harassment.
- Responding to industrial accidents, including cases of Karoshi (death from overwork).
- Labor union negotiations.
- Managing problematic employees (e.g., encouragement of resignation, disciplinary dismissal).
- Responding to the unauthorized removal of confidential information.
Unfair Trading
- Unfair Trading (Financial Regulations/Insider Trading, and others.)
- Legal assessments regarding financial industry regulations and conduct of business rules.
- Establishment and maintenance of financial compliance systems.
Track Record
- Crisis Management
- Provided comprehensive advice, including media relations in collaboration with PR firms, regarding personal data breaches at listed companies.
- Investigated cases of power harassment and sexual harassment by executives based on whistleblower reports through a listed company’s helpline and formulated response measures.
- Established comprehensive compliance systems regarding insider trading and financial regulations for multiple listed companies and startups.
- Conducted numerous external investigations, root cause analyses, and the development of recurrence prevention measures for misconduct at listed companies.
- Handled numerous external investigations of misconduct occurring or revealed at pre-IPO and listing-pending companies, providing root cause analysis and support for recurrence prevention measures toward successful listing.
- Assisted with the use of leniency programs based on various legal frameworks.
- Unfair Trading
- Supported responses to the Financial Services Agency (FSA) while on secondment to a Type I Financial Instruments Business operator (FX business).
- Engaged in regulatory practice concerning unfair trading, including insider trading, while on secondment to the Securities and Exchange Surveillance Commission (SESC) of the FSA.
- Provided daily legal judgment on whether specific information obtained by client companies constitutes insider information.
- Served as a lecturer for seminars on insider trading regulations hosted by external organizations.
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