Stevens & Lee’s China Practice Group is led by Bill Uchimoto, a recognized authority in China-based transactions. As early as 1998 when the Chinese domestic capital markets were not open to international investors, in his position as general counsel of a NASDAQ-listed company, he played a key role in negotiating with Asian financial institutions toward securing multiple financings and the launch of a global securities trading system for Asian broker-dealers and investment managers in Hong Kong.
Bill and members of the China Practice team regularly travel to China. As a result of a history of successful transactions and the development of strategic relationships, the group has established extensive business and government contacts in China. Stevens & Lee is sensitive to the unique cultural and communication needs of Chinese companies. We are staffed with qualified bilingual professionals who address client needs on a timely basis, including serving clients in their local time zone.
In addition, Stevens & Lee’s multidisciplinary professional platform gives our clients in China access to a wide range of professional services. In addition to a full service law firm, our clients have seamless access to a leading investment bank, a governmental incentives and grants business and an insurance risk advisory firm, as well as other key services provided by firm affiliates positioned to serve this growing market.
Our China Practice Group focuses on providing a full range of corporate and securities-related legal advisory services to our clients:
Cross Border M&A Advisory and Deal Representation
We advise China-based companies in capital raising transactions, including initial public offerings, follow-on offerings, private placement of debt and equity, 144A offerings, cross border M&As, reverse takeovers and financings through special purpose acquisition companies (SPACs). Our affiliated investment bank, Griffin Financial Group, can assist us in raising capital for all types of transactions. Through our broker-dealer clients and potential clients, we also have access to numerous other investment banking firms. Working with our Chinese contacts, we also advise international companies and institutional investors with their strategic M&A activities related to China.
U.S. Securities Exchange Listing for China-based Companies
We have in-depth knowledge of the U.S. securities laws and legal environment and, on behalf of our clients, obtain U.S. listings on national exchanges, which include the NASDAQ Stock Market and other U.S. securities exchanges. We also assist clients in implementing corporate governance policies, investor relations strategies and policies and programs that fully meet all exchange listing requirements, as well as Sarbanes-Oxley requirements.
- Ongoing SEC Compliance as a Public Company
We provide ongoing guidance to Chinese companies regarding their disclosure and public reporting obligations under U.S. federal and state securities laws and exchange regulations. We assist companies in preparing periodic filings with the Securities and Exchange Commission (SEC), such as Forms 10-K, 10-Q and 8-K, as well as proxy statement filings. We counsel companies and their directors and officers on compliance with U.S. insider trading prohibitions, Regulation FD, Forms 3 and 4 reporting by insiders and short-swing profit rules. We also work closely with the companies’ transfer agents and advise on the disposition of restrictive shares under SEC Rule 144.
For more information about the China Practice Group, contact Bill Uchimoto at 215.751.2876.
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