Securities Compliance
Securities compliance is one of Chong Li’s core practice areas. As China’s capital markets continue to evolve, regulatory authorities and investors have raised their expectations regarding the level of information disclosure and the standards of corporate governance among listed companies. This has put greater demands on issuers to identify and create value in a more complex environment.
Chong Li provides comprehensive compliance services in areas such as information disclosure compliance, securities compliance investigations, and the development of internal compliance systems. We help clients manage regulatory risks, resolve complex compliance issues, and enhance corporate quality in order to seize opportunities in the capital markets.
Rules Interpretation Advisory
Clarifying the application and interpretation of information disclosure and regulatory operation rules encountered in daily corporate practice; offering practical compliance advice.
Interim Report Advisory
Providing compliance review and advisory services on interim reports to ensure truthfulness, accuracy, completeness, timeliness, and fairness—improving disclosure quality and preventing omissions or violations.
Periodic Report Advisory
Advising on periodic reports with respect to their truthfulness, accuracy, completeness, timeliness, and fairness to enhance disclosure quality and mitigate compliance risks.
Investor Relations Compliance Advisory
Providing legal support for all aspects of investor relations management to help ensure adherence to the principle of fair disclosure by listed companies.
Regulatory Response Advisory
Assisting in the preparation of responses and submissions to securities regulators, ensuring accurate interpretation of applicable rules and effective engagement with regulatory inquiries. We also support clients in addressing regulatory concerns and implementing corrective actions where necessary.
Specialized Training
Delivering customized lectures and training sessions on the regulatory framework for information disclosure and corporate governance, based on topics designated by the client.
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.
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.”
What Our Clients Say
“Working with Chong Li is a pleasure. They are highly professional and incredibly responsive. Their timely and accurate advice has been essential to the sound operation of our listed company.”
What Our Clients Say
“Your team’s expertise in information disclosure and securities compliance is impressive. Your attention to detail and deep understanding of the regulations ensure our continued compliance in a complex market—and have significantly enhanced our market reputation.”
What Our Clients Say
“They are a trusted partner in all aspects of our compliance as a listed company—from day-to-day operations to major transactions, disclosure obligations, and investor relations. Their support gives us confidence in everything we do. Highly recommended.”
What Our Clients Say
“Whether in terms of professional standards or local execution, this team is truly first-class in the field.”
What Our Clients Say
What Our Clients Say