Compliance and Investigations
We provide comprehensive strategies for publicly listed companies to respond to government investigations. Through proactive risk assessment, in-depth legal consultation, and effective risk management, we are dedicated to protecting our clients' rights, ensuring their steady progress, assisting them in appropriately responding to regulations, safeguarding the legal rights of regulated entities, and enhancing the efficiency of regulatory bodies.
Administrative Investigations.
We assist our clients in reviewing the facts and evidence of non-compliance, responding to inquiries from the China Securities Regulatory Commission (CSRC) and stock exchanges, organizing defense evidence, drafting defense opinions, reviewing case files, and preparing for hearings and administrative reviews.
On-Site Inspections
We help listed companies that may be subject to random on-site inspections by securities regulatory authorities to improve or rectify the operation of their Three Committees (the board of directors, supervisory board, and shareholders' meeting), internal governance, and the review and disclosure of matters. This includes verifying financial data, tracking cash flows, and reviewing financial treatment methods, as well as developing proactive response plans for potential violations.
We have handled over 70 enforcement cases brought by the China Securities Regulatory Commission (CSRC), involving violations such as information disclosure misconduct, insider trading, failure of directors, supervisors and senior officers to perform their duties diligently, and professional negligence by intermediary institutions.
Our clients include listed companies, accounting firms, directors and senior officers of listed companies, and private equity funds.
What Our Clients Say
“We especially appreciate the Chong Li team’s communication skills and client service. They always explain complex compliance issues in a clear and straightforward way, enabling our securities department to easily understand and implement the requirements.”