JC Master Securities’ compliance practice is comprised of numerous partners and lawyers with extensive experience in securities law and dispute resolution. In recent years, the team has handled several high‑profile cases with broad implications for the capital markets and provides ongoing securities compliance services to a diverse array of capital market clients.

　　Scope of Services

　　Assist clients in cooperating with administrative investigations conducted by securities regulatory authorities.

　　Representing clients in administrative penalty hearing proceedings organized by the China Securities Regulatory Commission.

　　Assisting clients in filing administrative reconsideration applications against administrative penalty decisions issued by the China Securities Regulatory Commission, and representing clients in civil litigation brought by investors alleging securities fraud liability.

　　Assist clients in implementing criminal risk prevention and control measures related to securities‑related offenses.

　　Providing clients with day-to-day securities compliance legal advisory services.

　　Providing clients with securities compliance system design and implementation projects.

　　Service recipients

　　Domestic listed companies, as well as their major shareholders, directors, supervisors, and senior management personnel;

　　Financial institutions investing in the domestic securities market, such as various fund management companies and asset management offices, along with their investment managers; as well as intermediary institutions including securities offices, accounting offices, asset appraisal agencies, and law offices.

　　Business Type

　　Securities Compliance Matters: fraudulent issuance, violations of information disclosure requirements, insider trading, trading based on non-public information, market manipulation, holding shares in excess of statutory limits, unauthorized share reductions, and failure of intermediary institutions to exercise due diligence. Securities Litigation Matters: disputes over liability for false statements in securities offerings, among others.

　　Securities‑related crimes: contract fraud arising from financial statement fraud; the crime of illegally disclosing or failing to disclose material information; the crime of breach of trust causing damage to the interests of a listed company; insider trading; and market manipulation.

　　Other securities compliance services: ongoing securities compliance legal advisory, standalone securities compliance system development, and more.