Capital Markets & Corporate Compliance

We advise listed companies, fund managers, and businesses on the full range of capital markets and compliance matters, from financing and governance to equity incentives and regulatory review.

Our Services

Private placement and re-financing for listed companies, equity incentive scheme design and compliance review, equity investment due diligence, material changes in fund manager registration, day-to-day corporate compliance advisory.

Experience

· Assisted a Guangzhou-based fund management company with a material change filing, reviewing compliance requirements and ensuring smooth execution.

· Advised on an equity incentive scheme for a technology listed company, reviewing the scheme for compliance and issuing a legal opinion.

· Conducted due diligence for a private placement by a Beijing-based technology group listed company.

· Conducted equity investment due diligence for a Guangzhou-based information technology company.

· Advised on an equity dispute for a Guangdong-based information technology company and issued a legal opinion.

· Conducted equity investment due diligence for a Shenzhen-based technology equipment company and issued a due diligence report.

· Conducted equity investment due diligence for a Sichuan-based vanadium-titanium group company and issued a due diligence report.

· Conducted equity investment due diligence for a Henan-based electrical technology company.

· Conducted equity investment due diligence for a Nanjing-based intelligent technology company and issued a due diligence report.