China Practice

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Stevens & Lee’s China Practice provides a full range of corporate and securities-related legal advisory services to Chinese businesses, including cross-border merger and acquisition advisory and deal representation and ongoing Securities and Exchange Commission (SEC) compliance as a public company.

We also counsel clients on matters involving intellectual property, including trademark and copyright matters; trade dress; trade secrets; licensing and technology transfer agreements; non-disclosure and non-compete agreements; and litigation, including antitrust law, securities law and class actions.

Stevens & Lee’s multidisciplinary platform gives our Chinese business clients access to a wide range of professional services. In addition to a full service law firm, our clients have seamless access to Griffin Financial Group, a leading investment bank, and Pinnacle Risk Services, an insurance risk advisory firm, as well as other key services provided by Stevens & Lee/Griffin companies positioned to serve this market.

SEC Compliance

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 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 them on the disposition of restrictive shares under SEC Rule 144.

SEC and FINRA Inquiries, Proceedings and Civil and Criminal Litigation

Everything about a Chinese company’s business can change with a single phone call announcing that the company is under investigation for alleged civil and/or criminal wrong-doing. Compliance officers take every step within their power to ensure their company and its management act in keeping with federal, state and self-regulatory organizations (SRO) rules and regulations, yet an investigation can still occur. Our securities defense team is comprised of multidisciplinary, experienced lawyers in the areas of securities enforcement, white collar defense and securities litigation.

Access to Capital

Stevens & Lee advises China-based companies in capital raising transactions, including initial public offerings, follow-on offerings, private placement of debt and equity, 144A offerings and financings through special purpose acquisition companies (SPACs). Our platform’s investment bank, Griffin Financial Group, can assist our clients in raising capital for all types of transactions. Working with our contacts in China, we also advise international companies and institutional investors with their strategic M&A activities related to China.

Private Equity, Institutional and Hedge Fund Investors

As an alternative financing approach or prior to going public, Chinese companies may consider raising funds in the U.S. through private equity, institutional and hedge fund investor sources of capital through the platform’s investment bank. It is through Griffin’s relationships with private equity and hedge funds that we have acquired deep and substantial contacts with these investors, thus allowing us to aid our Chinese company clients in finding appropriate capital sources.

Cross-Border M&A Advisory and Deal Representation

We also advise China-based companies on cross-border mergers and acquisitions of US-based companies. Griffin can assist in identifying acquisition targets and raising required capital. Furthermore, once identified, our platform offers a complete range of service to help Chinese businesses establish operations in the U.S.

Contracting with U.S. Companies and Business Litigation

Stevens & Lee’s business litigation lawyers try cases in state and federal courts and before administrative agencies and arbitration panels throughout the nation. We have in-depth knowledge of the U.S. court system that has proven invaluable to foreign-owned businesses operating in the U.S.

Leonard P. Goldberger



Valley Forge 610.205.6046

New York 212.774.5929

Jeffrey M. Zimskind



Allentown 610.997.5068