Corporation and Investment， Securities and Capital Market， Civil and Commercial Dispute Resolution，
From June 2018 to now,as a social lawyer,I have mainly engaged in legal advisory work in commercial contract review,securities funds,commercial arbitration,energy law,and other aspects,providing professional,standardized,and efficient legal services to multiple state-owned companies and financial enterprises,energy enterprises,listed companies,and public companies.
From April 2011 to May 2018,while concurrently serving as a lawyer for Pacific Securities Co.,Ltd.,he was mainly engaged in dispute resolution(securities company arbitration and litigation),contract review,public fund preparation(responsible for supervision,audit,compliance,and risk control),and academic research and exchange of securities law.
From March 2019 to present,he has been a senior partner lawyer of Beijing Gaopeng Law Firm(during the period,from June 2019 to present,he concurrently served as a director of the Beijing Economic Law Society,from December 2020 to present,he concurrently served as an arbitrator of the Pu'er Arbitration Commission/Lance Mekong International Arbitration Court,from April 2021 to present,he concurrently served as an independent director of Luyang Energy Conservation,an A-share listed company,and from October 2021 to present,he concurrently served as a member of the 11th Beijing Lawyers Association Commercial Arbitration Law Professional Committee),Engaged in legal advisory work in commercial contract review,securities funds,commercial arbitration,energy law,etc;As an arbitrator,complete the trial and adjudication of cases designated by the Pu'er Arbitration Commission;As an independent director of Luyang Energy Conservation(securities code 002088),I perform my duties according to law.
From June 2018 to March 2019,he was a practicing lawyer at Beijing Shengwei Law Firm.
From April 2011 to May 2018,he concurrently served as a lawyer of Pacific Securities Co.,Ltd.During the period,he was elected as a director of the China Securities Law Research Association in October 2011,with a term of office of five years;He was also a member of the 10th Beijing Lawyers Association Company and Public Lawyers Working Committee;Engaged in dispute resolution,contract review,public fund preparation(responsible for supervision,audit,compliance,and risk control),and academic research and exchange of securities law.
From June 2008 to April 2018,he successively served as the Deputy General Manager and General Manager of the Human Resources Department of Pacific Securities Co.,Ltd.(since December 2009),responsible for human resources management.During this period,he successively obtained the qualifications of securities practitioners and fund practitioners.In December 2008,he was elected as a director of the Securities Law Research Association of the China Law Society;In 2016,he passed the Securities Investment Law Knowledge Examination for Senior Managers of Public Offering Funds of the China Securities Investment Fund Industry Association.
From June 2003 to May 2008,he successively served as the Deputy Director of the Business Development Department and the Comprehensive Office of the Asset Management Center of the China Council for the Promotion of International Trade,responsible for comprehensive affairs and property rights registration of affiliated enterprises;Participated in organizing activities such as contract review of enterprises and institutions,economic and trade arbitration,restructuring and listing,and international economic and trade exhibitions.During the period,the Professional and Technical Review Committee of the China Council for the Promotion of International Trade awarded the title of Associate Researcher(Legal Arbitration)in 2007.
From July 1994 to June 2003,I worked as a cadre in the Personnel Department of the China Council for the Promotion of International Trade(during which I was seconded to the special case team of China Huayang Technology and Trade Group Co.,Ltd.to assist in the investigation of economic cases for more than two years),mainly engaged in cadre management,organizational structure,assessment,appointment,and punishment,and other aspects of work.
China Youth University of Political Science Bachelor of Law
Member of the 11th Beijing Lawyers Association Commercial Arbitration Law Professional Committee
Arbitrator of Pu'er Arbitration Commission/Lance Mekong International Arbitration Court
Director of Beijing Economic Law Society
Independent Director of Luyang Energy Conservation, A Share Listed Company
Won the title of "Outstanding Employee of Pacific Securities Co., Ltd. in 2008 and Excellent Party Member of 2010-2011";
In recent years, at the invitation of the Law School of Tsinghua University, I have served as the judge of four "Lilu Cup" national college mock court competitions, and received a letter of gratitude from the organizing committee of the Lilu Cup national college mock court competition.
Special legal advisor for concentration of business operators of Tongfang Co., Ltd. (China Nuclear Capital Merger and Acquisition)
Assist Beijing Kangshundefu Import and Export Trade Co., Ltd. in recovering trust arrears of 90 million yuan
Special legal advisor for Jiangtian New Energy Trading (Yangzhou) Co., Ltd. in the arbitration case of China International Economic and Trade Arbitration Commission; Special legal advisor for Tibet Caibang Energy Equipment Co., Ltd. in the arbitration case of the Beijing Arbitration Commission; Cooperation with China Huadian Technology and Industry Group Co., Ltd.'s non litigation business lawyer base
Disposal of equity investment disputes between Shenzhen Qianhai Lichangrong Venture Equity Investment Enterprise (limited partnership) and a cultural media company
Perennial legal advisor to Datang Commercial Factoring Co., Ltd. (2020-2021)
Perennial Legal Adviser to China Huadian Group Finance Co., Ltd. (2020-2023)
Special legal advisor for public fund product raising of Guorong Fund Management Co., Ltd; Special legal counsel for significant changes in the management of Nanjing Star Dou Private Equity Fund Management Co., Ltd; Special legal advisor for Guangdong Jiuke Private Equity Investment Fund Management Co., Ltd. in the arbitration case of China International Economic and Trade Arbitration Commission;
Listing on the New Third Board of a joint-stock company in Shandong Rizhao; Legal services for Chinese companies going overseas (Australia, Germany) for listing
Special legal advisor for the financial strategic planning project of Chongqing Shuangfu Construction Development Co., Ltd. in cooperation with Hongta Securities Co., Ltd; Special legal advisor for creditor's rights recovery in stock pledge repurchase dispute cases of Guoxin Securities Co., Ltd; Special legal counsel for shareholder lawsuits against Shandong Longli Biotechnology Co., Ltd., Huaying Securities, Lixin Certified Public Accountants (special general partnership) and other major securities misrepresentation liability disputes
Since 2021, he has successively published 10 articles on Gaopeng Law Firm's official account, including: "Legal Risks and Prevention of Underwriters under the Summary of Bond Dispute Forum", "Focus on the Amendment of the Arbitration Law - Viewing the Amendment of the Arbitration Law from the perspective of facilitating the parties to regulate their participation in commercial arbitration practice", "Skillful use of the law to recover private investment losses", "Nine Highlights of Beijing Stock Exchange" (reprinted by Zhenglue Financial Research Institute) "Analysis of Information Disclosure at the Beijing Stock Exchange", "Are You Ready to Strike the Beijing Stock Exchange in 2022?", "Chapter V of the Nine Minutes of the People's Republic of China", "Consequences of Application and How Private Fund Managers Should Respond", "How Private Fund Managers Demonstrate Fulfillment of Investor Suitability Obligations in Dispute Resolution", "How Private Fund Managers Refuse Investor Claims for Rigid Redemption in Dispute Resolution" "How Private Fund Managers Refuse Claims of Unfulfilled Investment Diligence Obligations in Dispute Resolution.".
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2022 12/15
How do private fund managers refute claims of unfulfilled investment diligence obligations in dispute resolution
In our agency work in private fund manager dispute resolution cases, we have identified some common controversial points that determine the direction of relevant cases. This series of articles analyzes relevant issues from the perspective of safeguarding the rights and interests of fund managers. One of the articles in this series, "Consequences of Chapter 5 of the Nine People's Minutes" and How Private Fund Managers Should Respond "," How Private Fund Managers Demonstrate Fulfillment of Investor Suitability Obligations in Dispute Resolution ", and" How Private Fund Managers Refuse Investors' Claims for Rigid Redemption in Dispute Resolution ", are applicable to Chapter 5 of the Nine People's Minutes, respectively, And investors' appropriateness obligations and rigid cashing issues are analyzed. This article will discuss the issue of unfulfilled investment diligence obligations.
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2022 12/09
How do private fund managers refute investors' claims for rigid cashing in dispute resolution
Private Equity Fund Civil and Commercial Dispute Resolution Series III
In our agency work in private fund manager dispute resolution cases, we have identified some common controversial points that determine the direction of relevant cases. This series of articles analyzes relevant issues from the perspective of safeguarding the rights and interests of fund managers. One of the articles in this series, "Consequences of Chapter 5 of the Minutes of the Nine People's Republic of China and How Private Fund Managers Should Respond", and the second, "How Private Fund Managers Demonstrate Fulfillment of Investor Suitability Obligations in Dispute Resolution", respectively analyze the applicability of Chapter 5 of the Minutes of the Nine People's Republic of China and the investor Suitability Obligations. This article will discuss issues related to rigid cashing. -
2022 12/02
How do private fund managers demonstrate that they have fulfilled their investor suitability obligations in dispute resolution?
——Private Equity Fund Civil and Commercial Dispute Resolution Series II
In our agency work in private fund manager dispute resolution cases, we have identified some common controversial points that determine the direction of relevant cases. This series of articles analyzes relevant issues from the perspective of safeguarding the rights and interests of fund managers. This article mainly discusses the evidence that private fund managers may rely on in civil and commercial disputes to prove their investor suitability obligations on their own initiative or for the purpose of refutation (the allocation of the burden of proof for the appropriateness obligations of private fund managers is not within the scope of this article's discussion. Please refer to one of the articles in this series, Chapter 5, "The Consequences of the Application of the Nine Minutes of the People", and how private fund managers should respond). -
2022 11/28
Consequences of the Application of Chapter 5 of the "Nine People's Minutes" and How Private Fund Managers Should Respond
In our agency work in private fund manager dispute resolution cases, we have identified some common controversial points that determine the direction of relevant cases. This series of articles analyzes relevant issues from the perspective of safeguarding the rights and interests of fund managers. This article intends to analyze the impact of Chapter 5 of the "Minutes of the National Court Civil and Commercial Trial Work Conference" (hereinafter referred to as the "Nine People's Minutes") on private fund managers and defense ideas.
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2022 02/07
Are you ready to hit the Beijing Stock Exchange in 2022?
This news has stirred up the capital market, cheered innovative small and medium-sized enterprises, and even made legal professionals who have been serving public companies exclaim on the value and difficulty of this perseverance!
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2021 11/08
Analysis on Information Disclosure of Beijing Stock Exchange
On September 8, 2021, the First Management Department of Listed Companies of the National Equities Exchange Corporation issued a warning letter to the New Third Board Company, Asia Pacific Tianneng, and relevant responsible entities, confirming that the company had not fully disclosed to investors in the "Indicative Announcement on Preparing for Public Offering of Shares and Listing on the Stock Exchange" disclosed earlier Fully disclosing the fact that its financial data does not comply with the financial indicators specified in the "Beijing Stock Exchange Stock Listing Rules (for Trial Implementation)" (draft for comment) and the "National Hierarchical Management Measures for Small and Medium Enterprise Share Transfer System" constitutes a violation of information disclosure, and it is decided to take self-discipline and regulatory measures against the company and relevant responsible entities. The decision of the National Equities Exchange Corporation on this self-regulatory regulatory measure for Asia Pacific Tianneng is the first time since the establishment of the Beijing Stock Exchange that it has made a decision on punishment for information disclosure violations by referring to the supporting rules of the Beijing Stock Exchange. It also reflects the determination of regulatory authorities to crack down on information disclosure violations. Information disclosure, as the core content of China's securities market registration system reform, particularly emphasizes that securities issuers should truthfully, accurately, and completely disclose information that should be disclosed according to law, to improve the transparency of the securities market. So, what specific requirements does the Beijing Stock Exchange have for information disclosure of qualified companies on the New Third Board that do need to be publicly listed on the Beijing Stock Exchange? This article intends to explore this issue with reference to the provisions of the Beijing Stock Exchange on information disclosure obligations.
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2021 09/06
Nine Highlights of Beijing Stock Exchange
Recently, "Deepening the reform of the New Third Board and establishing the Beijing Stock Exchange (hereinafter referred to as the" Beijing Stock Exchange ")" has become a hot topic of concern for all sectors of society, especially for the majority of market entities. The China Securities Regulatory Commission has publicly solicited opinions from the public on a series of basic institutional arrangements for the Beijing Stock Exchange, and the Beijing Stock Exchange, which has been working hard to complete the company system registration, has also solicited opinions on the first batch of business rules. These rules and regulations include: "Measures for the Administration of the Registration of Public Offering of Stocks to Unspecified Qualified Investors by the Beijing Stock Exchange (Trial Implementation)", "Measures for the Administration of the Registration of Securities Issuance by Listed Companies on the Beijing Stock Exchange (Trial Implementation)", "Measures for the Continuous Supervision of Listed Companies on the Beijing Stock Exchange (Trial Implementation)", "Measures for the Administration of Securities Exchanges", "Measures for the Supervision and Administration of Unlisted Public Companies" "Administrative Measures for Information Disclosure of Non Listed Public Companies", "Listing Rules of Beijing Stock Exchange (Trial Implementation)" (referred to as "Listing Rules"), "Trading Rules of Beijing Stock Exchange (Trial Implementation)" (referred to as "Trading Rules"), "Membership Management Rules of Beijing Stock Exchange (Trial Implementation)" (referred to as "Membership Management Rules"); Recently, the Beijing Stock Exchange will also publicly seek market opinions on the implementation of self-regulatory rules related to the audit responsibilities under the public offering registration system. It can be seen that, based on the Securities Law, the Company Law, the Notice of the General Office of the State Council on the Implementation of the Revised Securities Law and relevant laws and regulations, the initial construction of the institutional system of the Beijing Stock Exchange, including issuance and listing, continuous financing, continuous supervision, exchange governance, and self-discipline management, reflects the characteristics of institutionalized protection and promoting the future development of the market of the Beijing Stock Exchange. After studying and comparing my own work experience in securities law for over ten years, the author believes that there are nine highlights as follows:
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2021 08/20
Using Law to Recover Losses from Private Placement
In recent years, there have been frequent reports of defaults in the investment field of private equity funds, with various reasons for default. For example, some fund projects cannot exit due to "stepping on the thunder"; Some private equity investment funds invest in real estate enterprises with a broken capital chain in the form of public equity and real debt; Some private equity investment fund managers do not issue the products they claim, but only engage in fund-raising fraud in the name of private equity investment... A few bad private equity funds have gone astray, causing investors' investment funds to float. So, as a private equity investor, how can we effectively reduce the losses suffered according to law?
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2021 08/09
Hot Spots in the Revision of the Arbitration Law: A Review of the Revision of the Arbitration Law from the Perspective of Facilitating the Parties' Standardized Participation in Commercial Arbitration Practice
On July 30, 2021, the Ministry of Justice officially opened the curtain on the comprehensive revision of the Arbitration Law by issuing a notice for public consultation on the "Arbitration Law of the People's Republic of China (Revised) (Draft for Comments)". The current arbitration law amended individual provisions in 2009 and 2017, respectively. During the long 26 years of implementation, more than 270 arbitration institutions have been established in accordance with the law throughout the country (which is conducive to local parties participating in arbitration nearby), handling more than 4 million arbitration cases, involving more than 50000 yuan in the subject matter. The disputes resolved cover many economic and social fields, involving more than 100 countries and regions around the world. As a unique dispute resolution mechanism, arbitration has played a positive and important role in promoting reform and opening up, economic development, and maintaining social stability. With the evolution of social economy and legal environment, arbitration law also needs to be updated and developed accordingly. Specifically, this draft for comment adds 19 articles compared to the current arbitration law, directly reflecting the proposed revisions that facilitate the parties (and their agents) to regulate their participation in the field of commercial arbitration practice, such as:
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2024 02/28
Two lawyers, Gao Peng, were elected as members of the second council of the Lawyers and Law Research Association of the China Law Society
On February 24, 2024, the second member conference of the Lawyer Law Research Association of the China Law Society was held in Beijing. Nearly 200 experts, scholars, and legal practitioners from universities, research institutions, judicial institutions, law firms, and other institutions across the country participated in this conference. The meeting elected a new council of the Lawyers and Law Research Association of the China Law Society. Lawyer Cao Li, Director of Gaopeng (Nanjing) Law Firm, and Lawyer Li Jun, Senior Partner of Gaopeng Law Firm's Beijing General Office, were invited to attend and were elected as members of the second council of the research association. We warmly congratulate Lawyer Cao Li and Lawyer Li Jun on their election as directors of the research association!
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2023 07/19
Lawyer Gao Peng's Representation in a Complex Private Equity Fund Contract Dispute Case Wins the Judgment
Recently, the private fund manager client represented by Gaopeng Law Firm received an award from the China International Economic and Trade Arbitration Commission. The team led by Li Jun, senior partners of the Beijing General Office, and Jiang Liyong, as the entrusted agents of the first respondent in this case, successfully represented the client in the private equity fund contract dispute case, and overall achieved a successful verdict.
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2023 04/21
Lawyers Guo Jinhui and Li Jun were invited to provide business training for the Hongta Securities Investment Banking Business Headquarters
On the afternoon of April 14, 2023, Lawyer Guo Jinhui, Senior Partner of Gaopeng Law Firm, and Lawyer Li Jun, Senior Partner, were invited to conduct a business training on the theme of "Legal Risks and Response to Securities Misrepresentation by Securities Companies" for the investment banking headquarters of Hongta Securities Co., Ltd. through a Tencent conference.
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2021 12/03
Lawyer Li Jun from Gaopeng Institute was invited to serve as the judge of the 19th Law Cup National University Moot Court Competition
From November 27 to November 30,2021,the"19th Lilu Cup National University Moot Court Competition",sponsored by the Lilu Cup Moot Court Competition Organizing Committee and co sponsored by the Taiwan Lilu Culture and Education Foundation,was held at Tsinghua University Law School.Lawyer Li Jun,Senior Partner of Gaopeng Law Firm,was invited to serve as a judge of the preliminary oral competition of this and the previous two Law Cup University Student Debate Tournaments,helping students from all corners of the country to experience and grow on the broad road of rule of law in China!
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2020 12/17
Research Team of the Beijing Bankruptcy Administrators Association Conducts Special Research at Gaopeng & Partners
President Xiaowei ZHANG and Vice President Lixin XING of the Beijing Bankruptcy Administrators Association (“the Association”) led the research team to conduct a research visit at Gaopeng & Partners in the morning of December 17, 2020. Senior Partners of Gaopeng & Partners including Yazheng BAI, Chaoyu LI, Jun LI and Zaifeng FAN, and Lawyers such as Liu YANG, Wanya QIU and Fangyong XIAO were present at the symposium.
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2019 05/30
A practical seminar on Chinese companies going to Germany and Australia for listing was held at Beijing Gaopeng Law Firm
The"Seminar on the Practice of Chinese Enterprises Going Public in Germany and Australia"hosted by the head office of Gaopeng Law Firm was successfully held in Beijing on May 29,2019.The team led by partners Li Jun and Bao Jianhong undertook the event.Representatives of various enterprises such as China Science Guoyi(Beijing)Biotechnology,Shanghai Xiqi Industry,Youmi Venture Capital Space,Jiuhe Education,Youwei Financial Space,and financial and intermediary institutions such as Hongta Securities Investment Bank,Lixin Certified Public Accountants,and Ruibai Law Firm attended the seminar.
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2019 04/30
Lawyer Li Jun Joins Gaopeng General Office
Recently,lawyer Li Jun joined Gaopeng General Office as a senior partner.Lawyer Li Jun has worked for the China Council for the Promotion of International Trade and Pacific Securities Co.,Ltd.,and has served as the general manager of the Human Resources Department and corporate lawyer of Pacific Securities Co.,Ltd.
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2021 11/26
Lawyer Gao Peng helped Nanjing Star Dou complete a major change project for private fund managers
Recently,lawyer Gao Peng assisted Nanjing Xingdou Private Equity Fund Management Co.,Ltd.(hereinafter referred to as"Nanjing Xingdou")in applying for significant changes in the registration of private equity fund managers and obtaining the approval of the China Securities Investment Fund Industry Association.
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2021 04/24
Lawyer Li Jun, Senior Partner of the Firm, was elected as an independent director of Luyang Energy Conservation Company
At the 2020 Annual General Meeting of Shareholders of Shandong Luyang Energy Saving Materials Co.,Ltd.(002088),a listed company on the Shenzhen Stock Exchange,held on April 23,2021,lawyer Li Jun,a senior partner of the general office,was elected as an independent director of the company.
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2019 09/10
Gao Peng, as the legal adviser of the target company, provided legal services for CNNC's acquisition of Tongfang shares
Recently,Tongfang Co.,Ltd.announced that it had received the"Decision of the State Administration of Market Supervision and Administration on Not Prohibiting the Anti monopoly Examination of Business Concentration"regarding the acquisition of Tongfang Co.,Ltd.'s equity by China Nuclear Industry Group Capital Holding Co.,Ltd.As the legal advisor of Tongfang Co.,Ltd.,our lawyer Li Jun provided legal services for the aforementioned merger and acquisition transactions.