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•  Typical cases of securities administrative penalties
  Provided legal services for a client surnamed C in the case of suspected manipulation of the securities market, involving an amount of more than 3 billion, involving the actual controller of the listed company using shareholding and capital advantages to raise the stock price.
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  Provided legal services for a client surnamed Y in a case involving the securities practice compliance risk of a securities company's practitioners, and the lawyer assessed the securities compliance risk matters raised by the client when the client was initially involved in the administrative investigation notice, formulated an effective compliance risk resolution plan, and provided administrative hearing agency services.
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  Provided legal services for a client surnamed Y in a suspected insider trading case, and the lawyer analyzed the securities compliance risk matters raised by the client when the client was initially involved in the administrative investigation notice, issued a securities compliance risk assessment report, formulated an effective compliance risk resolution plan, and provided administrative hearing agency services.
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  Provided legal services for a national key high-tech listed company and its senior executives in the case of administrative penalties for suspected illegal information disclosure, and provided legal risk consulting, securities compliance risk analysis, administrative hearing agency, criminal risk analysis, compliance structure suggestions and other supporting services according to the risk development of listed companies and their senior managers, so as to simultaneously fill corporate compliance loopholes and effectively resolve and prevent and control corporate securities compliance risks.

• Typical cases of financial crime defense
  After the lawyer's defense, the court significantly reduced the amount of illegal gains determined by the parties, paving the way for a comprehensive and effective defense of sentencing and property refund.
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  Defended a customer surnamed C in a case of suspected insider information trading, which involved the acquisition of equity of a listed company and involved a huge amount of money. During the investigation and procuratorial stages of the case, the lawyer continued to work hard to meet the actual situation of the case and the family situation of the parties, and successfully handled the bail approval.
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  Provided legal services for a client surnamed X in a suspected insider trading case, involving an amount of more than 50 million yuan, and the lawyer mainly provided securities compliance risk assessment services from a criminal perspective, formulated risk mitigation plans, and provided criminal defense services.
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  Provided legal services for a client surnamed Z in a suspected insider trading case, with illegal gains exceeding 25 million yuan, and the lawyer assessed the risk level and impact of the insider trading involved in the case as a whole, issued feasible risk mitigation plans for relevant risk matters, and provided criminal defense services.
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  Defended a customer surnamed N on suspicion of criminal offenses, involving an amount of 150 million, involving procedures such as the first, second, retrial and the procuratorate's protest against the second instance.
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  Provided defense for a customer surnamed S suspected of falsely issuing VAT invoices, involving about 20 million yuan, and after the lawyer's defense of the tax-related amount, he was finally sentenced to three years in prison and suspended for three years.
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  Defended a customer surnamed H in the case of allegedly opening a casino, involving an amount of 160 million, involving a new online gambling organization model, and was finally sentenced to three years and eight months in prison after the lawyer's defense.
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  Defended a customer surnamed L in a suspected contract fraud case, involving an amount of more than 1 billion, and after repeated legal consultations with the local public security organs, the party has now been released on bail pending trial.
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  Defended a client surnamed L on suspicion of accepting bribes from non-state officials, involving a project amount of 3.6 billion yuan, involving more than 8 million yuan in bribes.
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  Defended a customer surnamed S in a case of allegedly providing false supporting documents, involving a major asset merger and restructuring case of a listed company. Lawyers mainly conduct compliance assessments of clients' practice risks in the process of asset mergers and acquisitions from a criminal perspective, and provide criminal defense services.

• Typical cases of financial and commercial litigation
  Provided legal services for a financial loan contract dispute of a bank limited company, involving an amount of more than 600 million, and the lawyer built a legal and reasonable litigation structure for the parties before the lawsuit, and the court supported all the parties' claims in the first instance.
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  Provided legal services for a customer surnamed W in a dispute over an entrusted financial management contract, involving an amount of more than 200 million yuan, and the content of the case was complex, involving complex issues such as the entrusted wealth management of securities company personnel and the intersection of criminal and civil affairs of some assets.
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  Provided legal services for a financial loan contract dispute of a bank limited company, involving an amount of 1.5 billion, and the lawyer assisted in dealing with the difficulty of enforcement of equity non-performing assets, the case involved 7 layers of complex legal relationships, and after communication and coordination between the lawyer and the court, all equity assets in this case were executed within one year.
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  Provided legal services for the actual controller of a listed company in an intermediary contract dispute, involving an equity transfer transaction of a listed company, with a transaction amount of nearly 700 million yuan and an intermediary fee of more than 30 million yuan.
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  Provided legal services for a technical service limited company in a dispute over an equity transfer contract, including assessing the risk of non-compliance with VAM terms arising from the parties' equity transfer process and proposing risk resolution plans.

• Typical cases of comprehensive financial projects
  The lawyer mainly provides compliance services for the business development of listed companies from the perspective of risk mitigation of listed companies, and assists listed companies in comprehensively handling illegal and criminal cases of subsidiaries, and provides relevant criminal compliance services.
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  Provided legal services for private fund compliance review and risk mitigation for an investment management company, and the party's main business is the issuance of fund products and targeted financing products, etc., and the compliance review involves more than 13 billion yuan of financing projects. Lawyers conduct comprehensive investigations of the entity, legal relationship, and fund details, assist the company in reviewing the compliance of its financing business, formulate risk mitigation plans, and avoid and control the concentrated outbreak of systemic risks.
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  Provided special legal services for securities compliance for a real estate limited company, including providing legal advice and risk assessment services for major securities risks involved in customers, as well as supporting administrative penalty hearings and criminal defense legal services that may arise due to risk evolution.
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  Provided special legal services for an overseas cross-border currency payment company on the share repurchase matter, involving the change of shareholders of the Hong Kong company and the holding BVI company of the Hong Kong company, including assisting the parties in setting up share repurchase and transfer matters, communicating and negotiating with investor lawyers, and coordinating with the repurchased party. Finally, the transaction was concluded.
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  Provided special legal services for the financing of an overseas cross-border currency payment company, including assisting the company in building a VIE structure, completing financing, negotiating with investment institutions, completing the improvement and review of a series of transaction documents, and finally successfully closing the transaction with a financing amount of US$10 million.
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  Provided special legal services for the financing of a software information technology service co., Ltd., including drafting investment agreements, shareholders' agreements and other transaction documents for Series A financing, risk control, and assisting in the signing of transaction documents and project delivery. In addition, in line with the customer's listing plan and regulatory requirements, we will follow up and assist in the follow-up dynamic adjustment of financing documents.
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  Provided special legal services for the financing of a pharmaceutical production company, including building a financing structure for customers, formulating financing plans, providing full legal services, including drafting articles of association, shareholders' agreements and other transaction documents, conducting compliance reviews for intellectual property type capital contributions, following up and assisting in subsequent financing transactions, and cooperating with the company to issue relevant documents.
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  Based on years of experience in criminal prosecution and anti-fraud practice, lawyers have recovered all losses for clients through on-site visits and visual displays, and have proposed targeted solutions to customers' internal systems, structures, risk control, prevention and control, and resolution, and assisted enterprises in building anti-fraud compliance systems and risk monitoring systems.

 Bachelor of Law, Northwest University of Political Science and Law

 Master of Laws, East China University of Political Science and Law

 Shanghai Jiao Tong University Shanghai Advanced Institute of Finance EMBA

police officer of Changzhou Public Security Bureau, Jiangsu Province;

 police officer of the Economic (Securities) Crime Investigation Bureau of the Ministry of Public Security;
Head of Global Risk Control and Security at American Express;

 Senior Partner (Managing Partner) of Shanghai Xinben Law Firm;

 Senior partner of Beijing Dacheng (Shanghai) Law Firm.

 Deputy Director of the Securities Compliance and Dispute Committee of the Shanghai Lawyers Association

External researcher of the Securities Crime Research Center  of Kaiyuan Law School of Shanghai Jiao Tong University and director of the Securities Compliance Business Research Committee

External tutor of Wenbo College, East China University of Political Science and Law

China Securities Practitioner Qualifications

Registered Fraud Examiner in the United States

Certified forensic accountant in the United States

• Monograph "The Road to Regulation: The Criminal Law Logic of the Capital Market", Law Press, January 2021, 1st edition.
  Monograph "Securities Compliance: Legal Regulation and Risk Management of Transactions Using Undisclosed Information", Law Press, August 2023, 1st edition.
  "Common Compliance Misunderstandings and Regulatory Practices in Insider Trading", Lawyers, December 22, 2023.
  "Securities Compliance: An Empirical Analysis of Whether Accounting Errors Can Be Exempt from False Records", Lawyers, November 24, 2023.
  "Strengthening the supervision of cross-border securities of Chinese stocks and red chips may become a future trend", in Lawyer, November 14, 2023.
  "Key Points and Review Logic of Administrative Supervision and Case Handling", CNKI Intelligent Law, November 9, 2023.
  "Research and Analysis of Cases of Compound Violations and Crimes in the Field of Finance and Securities", Law Merchants, October 19, 2023.
  "Illegal Reduction of Holdings by 'Key Minority' Leads to Risks, and Supervision Severely Punishes Those Who Commit Crimes against the Wind"", Law Firm, October 7, 2023.
  "Focusing on the Concurrent Risk of Illegal Reduction of Holdings by the 'Key Minority' - Taking the Case of Regulatory Heavy Penalty WL Home Furnishing as an Example", Law Firm, September 26, 2023.
  "Securities Compliance: A Brief Analysis of the Compliance Risks of "Restricted Transactions" by Securities Market Entities, Dacheng Research, August 30, 2023.
  "[Independent Directors] Securities Compliance - Five Major Issues in the Performance of Duties by Independent Directors in Combination with the 'New Law'"", Law Firm, August 28, 2023.
  "Six Misunderstandings of Legal Risks in Information Disclosure of Listed Companies", in Law Firm, July 26, 2023.
  "Interpretation of the Five Highlights of the New Regulations on Short-term Trading Supervision", Wolters Kluwer First, July 24, 2023.
  "Research on Cross-Criminal and Civil Legal Issues in Securities-related Marriage and Family Cases (Criminal Chapter)", in Law Merchants, July 14, 2023.
  "Looking at the Securities Compliance Risks of Intermediaries through the First ABS Fraudulent Issuance Case", Dentons, June 20, 2023.
  "A Brief Analysis of the Three Compliance Risks to Pay Attention to in Corporate M&A, Especially in M&A of Listed Companies", in Hongyi Securities, September 1, 2022.
  "Market Manipulation in the Context of Information Disclosure Instrumentalization", in Hongyi Securities, August 18, 2022.
  "Identification and Defense of Illegal Gains in Manipulation Cases of Market Value Compliance of Listed Companies", Hongyi Securities, August 4, 2022.
  "Where did Didi's 8.026 billion fines come from", in Xingong Co., Ltd., July 22, 2022.
  "Trying to Solve the Three Major Case-Handling Difficulties of Transactional Manipulation Market", in Xingong Co., Ltd., June 23, 2022.
  "Detailed Explanation of the Manipulation of Stock Prices by 'Pseudo Market Value Management' in the 'New American Star' Case, and the Actual Controller Received Nearly 100 Million Fines", in Hongyi Securities, June 7, 2023.
  "'Fire Prevention' is Better than 'Fire Fighting' - Securities Criminal Compliance Path under the New Standard", Xingong Co., Ltd., May 17, 2022.
  "5.15 Securities Criminalization Threshold Adjustment under 'Zero Tolerance'", in Xingong Co., Ltd., May 1, 2022.
  "A Brief Description of the "Mouse Warehouse" and Compliance Points under the Sword of Dharma", in Hongyi Securities, April 28, 2022.
  Report on Criminal Compliance and Risk Control in the Private Equity Industry, Wolters Kluwer First, April 19, 2022.
  "The 'Confusion' and 'Solution' of Insider Trading" (Part II)", in Xingong Co., Ltd., April 8, 2022.
  "The 'Confusion' and 'Solution' of Insider Trading (Part I)", in Xingong Co., Ltd., April 3, 2022.
  "How to Avoid the "Hardest Hit Zone" - Criminal Compliance Solutions for Listed Companies", in Xingong Co., Ltd., March 22, 2022.

obtained the qualification of China Securities Practitioner;

Qualified as a Certified Fraud Examiner in the United States and a Certified Forensic Accountant in the United States;
Participated in the handling of a number of major economic crimes, and participated in the supervision of the "09 Operation" and "Bright Sword" operations;
He was jointly awarded the "Advanced Individual of the 2010 World Expo Special Action for Intellectual Property Protection" by the "8 departments" of the State Council.

 Won the "Global Chairman's Award" of American Express;

 Received American Express's "Legal Department Global Outstanding Individual Award".
Won the 2024 LEGALBAND China Lawyers Special Recommendation List: Commercial Crime and Criminal Compliance.
Ranked in the 2024 GRCD China Client's Preferred Compliance Lawyer: Criminal List.