We have extensive experience in handling administrative investigations conducted by the CSRC and criminal investigations involving potential securities rule violations, as well as negotiating for settlement with the CSRC. Our areas of expertise include handling all kinds of complex securities enforcement cases involving improper information disclosure, insider trading, market manipulation, and professional liability of third party agents. We are also experienced in handling securities civil lawsuits such as false representations.

• A well-known fund company in handling administrative and criminal investigations by the PSB and the China Securities Regulatory Commission (CSRC) on suspected securities violations.
• An international accounting firm in handling the administrative investigation by the CSRC on the professional responsibilities of professional institutions and their personnel.
• An independent director of a listed company in handling the administrative investigation by the CSRC on suspected insider trading.
• A legal representative of a listed company in handling a criminal investigation and prosecution for suspected illegal information disclosure; and providing legal opinions. The prosecutors decided to drop the charges against the client.
• A listed company in handling the administrative investigation by the CSRC on suspected illegal information disclosure.
• A fund company executive in handling the administrative investigation by the CSRC on suspected “rat trading”.
• An executive director of a PRC-listed company on an inquiry by the CSRC and the PSB relating to potential insider trading and market manipulation activities.

• A U.S.-listed Chinese multinational conglomerate in a probe initiated by the SEC involving compliance and misrepresentation in cooperation with a top US law firm.

• The board of directors of a Hong Kong-listed company in proceedings brought against them alleging breach of fiduciary duties, misfeasance and/or misconduct, and related contentious regulatory matters.

• A number of well-known MNC and Chinese companies on the responsibilities and obligations of listed companies and their directors and executives under PRC and Hong Kong laws.