Our dispute resolution services in the capital markets area span across securities regulatory enforcement, civil litigation, and criminal defense, covering all key market participants. We represent issuers, intermediaries, controlling shareholders, listed companies, and investors in navigating overlapping regulatory proceedings, complex factual disputes, and high-stakes legal exposure.
Regulatory Investigations and Penalties
We represent issuers, controlling shareholders, and senior executives in investigations, enforcement actions, and hearings initiated by the CSRC and stock exchanges. Our services include drafting response statements, proposing remedial measures, and assisting in regulatory settlement.
Intermediary Liability Disputes
We act for securities firms, law firms, and accounting firms in disputes involving due diligence failures or lack of professional care, including administrative sanctions and civil liability claims.
Investor Claims for Misstatements
We defend listed companies and responsible individuals in lawsuits and class actions arising from false or misleading disclosures, material omissions, or unwarranted commitments, and assist in formulating crisis management and litigation strategies.
Insider Trading and Market Manipulation
We provide compliance assessments and criminal defense services in cases involving insider trading, price manipulation, or other securities crimes. We help clients assess criminal exposure and implement internal control safeguards.
Bond Defaults and Holder Actions
We advise issuers, lead underwriters, bond trustees, and bondholders in in litigation and default resolution matters triggered by bond defaults, helping structure compliant outcomes and safeguard interests.
Multi-Layered Enforcement Risk Management
We support clients through sequential enforcement cycles triggered by disclosure violations, financial fraud, or timing manipulation—coordinating defense efforts across regulatory, criminal, and civil fronts.
Disclosure Crisis Management
We assist clients in responding to abnormal trading activity and urgent disclosure events, including drafting clarification announcements and regulatory notices, while establishing effective communication with regulators to mitigate reputational and compliance risks.
