Administrative Compliance in Securities and Futures
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- Provided legal representation for a Zhejiang-based smart healthcare listed company and its directors, supervisors, and senior management in connection with administrative penalties for alleged violations of information disclosure regulations and fraudulent issuance, including legal services for statements and defenses, and participation in hearings.
- Represented a Zhejiang-based chemical fiber listed company and its actual controller, directors, supervisors, and senior management in administrative penalty proceedings for alleged information disclosure violations, offering legal services for statements and defenses, and participation in hearings.
- Offered legal services for statements and defenses, and participation in hearings for a Fujian-based apparel listed company and its actual controller and management personnel facing administrative penalties for alleged information disclosure violations.
- Provided legal services for an Anhui-based Sino-foreign joint venture listed company and its foreign directors, supervisors, and senior management in connection with administrative penalties for alleged information disclosure violations.
- Represented a Shandong-based papermaking listed company in connection with administrative investigations for alleged information disclosure violations.
- Provided legal services for a Henan-based papermaking listed company facing administrative investigations for alleged information disclosure violations and related delisting risks.
- Represented a Shanghai-based securities firm in connection with administrative investigations for alleged information disclosure violations related to underwritten bonds.
- Offered legal services for a Shanghai-based trust listed company and its directors, supervisors, and senior management in connection with administrative investigations and exchange disciplinary actions for alleged information disclosure violations.
- Represented a Shanghai-based education listed company in connection with exchange disciplinary actions for alleged information disclosure violations.
- Provided legal services for statements and defenses, and participation in hearings for the performance commitment obligors of a Beijing-based digital media listed company facing exchange disciplinary actions for failure to fulfill performance commitments.
- Represented the performance commitment obligors of a Jiangsu-based information technology listed company in applying for administrative reconsideration against rectification orders and "high-spending and high-travel" restrictions for failure to fulfill performance commitments.
- Offered legal representation for a former senior manager of a large state-owned enterprise facing administrative penalties for alleged futures insider trading, including services for statements and defenses, and participation in hearings and reconsideration. This case is the first commodity futures insider trading case in the market.
- Represented an employee of a listed company in connection with administrative penalties for alleged securities insider trading during a major asset restructuring process, including services for statements and defenses, and participation in hearings and reconsideration.
- Provided legal services for statements and defenses, and participation in hearings for a senior executive of a listed company facing administrative penalties for alleged securities insider trading.
- Represented an individual facing administrative penalties for alleged insider trading and recommending others to trade stocks due to contact with insider information holders, including services for statements and defenses and participation in hearings.
- Offered legal services for a Shanghai-based fund management company in connection with administrative investigations for alleged insider trading and the use of others' securities accounts.
- Provided legal services for statements and defenses for the chairman of a life insurance company facing administrative penalties for alleged failure of qualification for appointment.
- Represented a Shanghai-based fund management company in connection with administrative investigations by securities regulatory authorities for alleged improper promotions.