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Capital Markets&Corporate Compliance

The Capital Markets and Corporate Compliance Group is one of the professional service Groups of Wang Jing & GH Law Firm formed based on division of expertise and collaboration. The Group, led by senior partner Mr. Sha Qilin, comprises senior partners and other experts in capital market operation and corporate compliance practices. The Group provides efficient, reliable and personalized legal services as well as related value-added services in capital markets and corporate compliance practices, including securities issuance and listing, merger and reverse merger, asset-backed securitization, private equity, investment and financing, funds and trusts, state-owned assets management, enterprise restructuring and mixed ownership reform, corporate general compliance, corporate special compliance, BOT, tenders and bidding.

Scope of Service

Corporate Compliance
1.Provided regular legal counsel services to achieve overall compliance and daily operation compliance of enterprises

2.Having expertise and rich experience in the following compliance areas;
(1)Overseas anti-corruption compliance services to foreign-related enterprises in Chinese, English, French, Italian, and Arabic languages;
(2)Anti-forced-labor compliance service for foreign-related business;
(3)Compliance related to transfer, evaluation and transaction of state-owned property rights of enterprises, and merger, acquisition, reorganization and change in property rights;
(4)Appraisal, audit, AIC, tax, land management and other compliance matters during the restructuring process of state-owned enterprises;
(5)Compliance concerning the incentive and restraint mechanisms for the management of state-owned enterprises;
(6)Establishment and improvement of employee equity incentives, equity structure and shareholders’ rights;
(7)Prevention and coordination of disputes over shareholders’ rights and interests.

3.Business compliance training as requested by clients

Capital Markets
1.Stock and Bond Issuance, ABS, Stock Pledge Repo
(1)Assisted in the conversion of a limited liability company into a company limited by shares for the purpose of listing;
(2)Advised on state-owned enterprise restructuring, drafted state-owned enterprise equity plan and provided compliance advice;
(3)Pre-IPO compliance and issuance coach, and reviewed, modified and prepared legal documents on company incorporation and issuance, listing and underwriting of securities, etc.;
(4)Advised on seasoned equity offering and rights issue by listed companies;
(5)Advised on issuance of corporate bonds and enterprise bonds in stock exchange markets and inter-bank markets.

2.Equity Investment Funds, Securities Investment Funds, Buyout Funds
(1)Participation in acquisitions of listed companies and material asset restructurings;
(2)Compliance services such as filing and registration of fund managers, fund establishment and fund raising plans;
(3)Compliance services for funds, trusts, collective capital plans and other assets management products;
(4)Compliance operation, risk identification and risk control of securities investment funds and equity investment funds;
(5)Legal due diligence, liquidations of assets and review of reports for funds liquidation

3.Trust, Commercial Factoring
(1)Legal due diligence on underlying assets and underlying contracts;
(2)Legal services relating to investment or financing structures, credit enhancement, etc.

High-profiled Cases

Academic Researches

Honorary Awards


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