In-house Training Service
In-house and Compliance Training
We design and deliver in-house training that works from your operations and internal rules, so that it connects to the decisions directors and employees make and to the consultation and reporting that should follow.
Where training does not lead to better decisions on the ground, the reason is not only how much the participants have understood. The explanation of the provisions and of how a regime works has not been applied to the work the company actually does. It has not been connected to internal regulations or to the procedures for review and reporting. And participants are not told whom to consult, and at what point, when they are unsure.
At the first meeting we confirm who is to attend and what the training is for. What suits the purpose differs: telling the departments concerned about a change in the law, sharing the criteria for decisions within a particular department, or preventing recurrence after misconduct or an incident. Where it appears that establishing the facts, or revising regulations and practice, should come before any training, we say so.
There is no charge for discussing the content, the arrangements and the cost.
When Companies Use This Service
- Internal rules have been revised following a change in the law, and the departments concerned need to be told what the rules are and how they work in practice
- The same points keep being raised when advertising is reviewed internally
- Regulations and manuals have been revised, but practice on the ground has not changed
- Harassment training for managers should address situations that can actually arise in your company, rather than general principles
- You want to confirm who does what in the first hours of a data leak or an on-site inspection by a regulator
- Training is required as one of the measures to prevent recurrence after misconduct or administrative guidance
- Directors and employees need training on matters such as insider trading rules as part of preparation for listing
Designing the Content and Format
Even on the same topic, what needs to be covered differs according to the purpose of the training and the people attending. We confirm the following before setting the issues and case studies to be used.
| What we confirm | How it is reflected in the training |
|---|---|
| The work the participants actually do | Situations calling for a decision are set out along the flow of your operations |
| Internal regulations and review and reporting procedures | The explanation of the law is matched to the internal procedure the matter has to go through |
| Situations that have caused hesitation in the past | Where you are able to provide them, questions raised with the department concerned are turned into case studies that cannot be traced to a particular matter |
| The line between decisions on the ground and consultation or reporting | We confirm your existing rules on how far staff decide for themselves and at what point the matter goes to the legal or compliance function, and organize this taking account of any revisions that are needed |
Where appropriate, we also cover points to note on creating and retaining records, with later fact-finding and dealings with regulators in mind.
| Participants | Emphasis of the training |
|---|---|
| Directors | Judgment when a report is received, oversight and decision-making, and the rules that apply to directors themselves |
| Managers | How to receive consultations and reports from staff, the initial response, and recording what is reported |
| The department concerned | The criteria for review and decisions, and how these relate to internal procedures |
| All employees | What is prohibited, and whom to consult when in doubt |
Lectures, case studies, group discussion, tabletop exercises and tests are combined according to the purpose, and sessions are held in person or online. The scope of what we prepare, such as training materials, case questions and tests, is confirmed in advance.
An Example of a Program
| Item | Example |
|---|---|
| Participants | The marketing department and those who review advertising |
| Purpose | To share, for advertising, what is decided on the ground and what is referred to the legal or review function |
| Examples of materials reviewed beforehand | Regulations and criteria for advertising review, and past reasons for rejection or previous queries, where these can be provided |
| Content | The basics of the Act against Unjustifiable Premiums and Misleading Representations and related rules / case-by-case review of particular expressions / how these correspond to your internal review criteria / situations calling for consultation or escalation |
| Examples of what we prepare | Training materials, case questions and, where required, a test and a summary of the questions raised |
Training Topics We Have Covered
| Area | Typical participants | Examples of what is covered |
|---|---|---|
| Advertising and representations | Marketing, advertising review, sales | The Act against Unjustifiable Premiums and Misleading Representations (misleading representations as to quality or price, and the rules on stealth marketing), the Pharmaceuticals and Medical Devices Act, medical advertising regulation and the labelling of health foods, and criteria for reviewing advertising |
| Competition law and transactions | Sales, procurement, business units | The Antimonopoly Act, the Act on Ensuring Appropriate Transactions with Subcontractors (formerly the Subcontract Act), the Freelance Act, and practice on price negotiations, orders and payment |
| Financial regulation | Business development, directors | The Financial Instruments and Exchange Act and the Payment Services Act, the design of financial services, and insider trading rules |
| HR and labor | Human resources, managers, directors | Changes in legislation, harassment (including harassment by customers), working-hour management, and dealings with departing employees |
| Personal data | All employees, information systems, legal | The Act on the Protection of Personal Information, transfers of data overseas, managing information when generative AI is used, and the initial response to a data leak |
| Intellectual property | Development, planning, marketing | Copyright and trade marks, the management of trade secrets and responses where they are taken out of the company, and generative AI and infringement |
| International and cross-border business | Overseas business, business development | Providing services across borders, expansion overseas, and alliances and joint development with overseas companies |
| M&A and business transfers | Corporate planning, legal | Practical points to note in due diligence |
| Crisis management and misconduct | Directors, administrative departments | The discovery of misconduct, investigations and on-site inspections by regulators, data leaks, and responses to internal reports |
We have delivered training in each of these areas. The examples of what is covered include matters that can be taken up now in light of changes in legislation and similar developments.
Tabletop Exercises and Training to Prevent Recurrence
Tabletop Exercises in Normal Times
Working from scenarios such as a data leak, a cyber attack, the discovery of misconduct or an on-site inspection by a regulator, participants consider the initial judgment to be made, internal reporting, the preservation of evidence and information, and coordination with the departments concerned. Where instructed, we set out afterwards the points on which participants hesitated and the candidates for review, and we also assist with preparing an initial-response manual or incident-response regulations.
Training After an Incident or Misconduct
Working from the facts confirmed in an investigation and the analysis of causes, we cover the criteria for judgment needed to prevent recurrence. Depending on how the investigation, any disciplinary action, dealings with regulators and litigation are progressing, we consider when the training should be held, the range of facts to be used as teaching material, and the risk that individuals will be identified. We do not treat facts that have not been established as though they were established. Where it would be more appropriate for another professional to deliver the training, for example where our own previous involvement is itself under review, we say so.
Connecting Training to Your Internal Arrangements
Where preparing the training or answering questions brings to light a gap between the regulations and actual practice, or a point on which the criteria are not clear, we set these out as candidates for review where instructed to do so.
Training is used as part of putting arrangements in place under legislation and guidelines, for example in relation to the management of representations under the Act against Unjustifiable Premiums and Misleading Representations, security control measures under the Act on the Protection of Personal Information, and the prevention of harassment. Delivering training does not, by itself, complete the arrangements that are required.
Follow-up After the Training, Where Required
Within the scope of the instructions we receive, we can also review, after the training, the results of any test, the content of the queries received and the use made of the procedures for consultation and reporting. The number of queries, whether it rises or falls, is not by itself a measure of the effect of the training.
Internal Cases, Materials and Recordings
| Item | How it is handled |
|---|---|
| Internal cases | Where an actual matter is used as teaching material, we take account of the risk that those involved will be identified, abstract the facts where necessary, and confirm in advance the extent to which the matter may be used. Where the matter arises from an internal report under the whistleblowing rules, information identifying the person who made the report is as a rule not included in training material. |
| Matters still in progress | Where a matter is used while an investigation, disciplinary action, dealings with regulators or litigation is continuing, we consider the scope and the timing in light of how it is progressing. |
| Materials and recordings | Distribution of materials within your company, the period and the participants for which a recording may be used, use as e-learning material, and whether materials may be altered, are all settled in advance. |
| Confidentiality | Lawyers are under a duty of confidentiality under the law. Where a separate confidentiality agreement is required, we confirm its terms. |
Lawyers with Relevant Experience
According to the topic, we propose a team centered on the lawyers whose experience is relevant. The following are the practice areas and examples of experience of each.
The above includes practice areas at this firm and experience gained in previous positions, on secondment and while serving as a judge. It does not indicate a record of matters handled by this firm.
From Instruction to Delivery, and Fees
| Stage | This firm | Your company |
|---|---|---|
| Purpose and participants | Proposes a structure and a fee to match the purpose | Decides the purpose and who is to attend |
| Content | Prepares the issues, case studies and tests | Provides internal regulations and material on past matters, and decides how far these may be used |
| Delivery | Provides the speaker and answers questions | Arranges the venue or the online environment, and notifies and keeps track of those attending |
| After the training | Answers questions and, where instructed, sets out candidates for review | Decides whether a review is needed, and keeps the record of attendance |
The fee varies according to the topic and the participants, the length and the number of sessions, the extent to which the content is tailored to your company, the preparation of case studies, tabletop exercises and tests, and the scope on which recordings and materials may be used. We set out the fee, including how expenses are handled, together with the proposed structure before the training is held. Where you have a retainer with us, in-house training is quoted separately from the retainer fee.
Where Another Arrangement May Suit You Better
- Where you also need somewhere to turn for day-to-day decisions after the training → Legal Retainer Service
- Where the regulations, review flow and reporting lines themselves need to be put in place → Legal Support for IPO Preparation and Internal Controls
- Where you need a lawyer to take on the work within your company for a period and see the new practice settle in → On-site Support Service
- Where misconduct or an incident has already occurred → please consult us first as a matter of Crisis Management and Incident Response, before any training
Frequently Asked Questions
Can we instruct you for a single session?
Yes. We confirm the participants and the purpose, and propose what can be covered in one session. Where it would be better to divide the training into several sessions, we say so and explain why.
Can we use a recording or the materials for e-learning within our company?
Yes, once the scope of use has been settled in advance. Because the content can become out of date when the law changes, we recommend that the period of use be settled as well.
If we hold training, have we met our obligations under the law?
Training is used as part of putting arrangements in place under legislation and guidelines, but it does not by itself complete the arrangements that are required. It needs to be considered together with internal regulations, the point of contact for consultations, and the procedures for review and reporting.
What happens if a participant raises a personal matter during the session?
A training session is not a forum for legal advice to individual participants. Where a personal matter may place the participant and your company in conflict, this firm may be unable to act for the participant in a personal capacity. In that case we point the participant to an appropriate source of advice, inside or outside the company, as required.
How much work does the preparation involve on our side?
Where internal regulations and past matters are to be reflected in the training, we ask you to provide the material and to confirm how far it may be used. We set out what we will ask of you when we present the proposed structure.
Contact
Please let us know, as far as you can, what the training is for, who is to attend (department, position and number of people), when you would like it held and in what form, and the situations you particularly want covered. There is no charge for discussing the content, the arrangements and the cost. Where something other than training would suit you better, we say so.
Discuss the content and cost of training