Security Dispute Resolution
Chong Li has extensive experience representing a wide range of clients in securities compliance and securities litigation matters. In light of the increasing frequency of regulatory violations and litigation in the capital markets, and the growing demand for specialized legal services, we provide dedicated legal support for clients in managing both existing and potential securities compliance risks and disputes.
Our services cover the full spectrum of enforcement and dispute resolution processes, including responding to stock exchange disciplinary actions, CSRC administrative investigations, and civil compensation lawsuits initiated by investors.
We Are Legal Experts—And Financial Experts
Many of the challenges faced by listed companies in securities compliance involve both legal and financial considerations. To bridge this gap, we established an internal Accounting Committee, and over 55% of our professionals hold dual qualifications in law and finance. We do not outsource complex issues to other intermediaries—we resolve them internally.
In securities misrepresentation cases, key issues often involve accounting treatments—such as revenue recognition, application of accounting standards, or gross vs. net presentation. Our in-house accounting professionals work closely with our lawyers to craft precise, effective, and client-favorable defense strategies.
Multi-Stage, Multi-Perspective Risk Management
Securities misrepresentation cases often span multiple stages, including ongoing supervision, on-site inspection, formal investigation, administrative penalties, and internal control improvement. Each stage may affect or condition the next.
We go beyond post-violation response. Drawing on our integrated compliance and litigation experience, we adopt a full-process perspective to anticipate risk exposure and enhance risk management.
Deep Understanding of Listed Companies’ Litigation and Compliance Needs
Serving over 200 listed companies each year, we have keen insight into regulatory trends and market pressures. This allows us to handle disputes and investigations with efficiency, clarity, and strategic precision. We offer executive legal training and dynamic risk alerts to help clients stay ahead of regulatory risks and avoid passive or reactive compliance.We also share insights and practical experience regularly via our firm’s public platforms to support knowledge development across the market.
Dedicated Focus on Securities Compliance for Listed Companies
Unlike traditional capital markets law firms that focus on transactional or licensing matters, Chong Li specializes in the broader spectrum of securities compliance issues that arise outside of CSRC approval or registration processes. We serve a broad base of listed company clients. As regulatory scrutiny intensifies, we are committed to protecting the legal rights of listed companies and their directors, supervisors, and senior executives in the capital markets. Both our staffing and practice design are built to support this mission.
