What Does a Securities Lawyer Do?

Refers to specialized lawyers who issue legal opinions and review, modify and produce other relevant legal documents for various securities and related businesses of enterprises and institutions that issue and trade securities.

Securities lawyer

1. Assist the company and the securities firm to formulate a restructuring and restructuring plan, and determine the main business and asset scope of the joint stock company. In this work, it is critical to avoid inter-industry competition and related-party transactions as much as possible according to the actual situation of the company. It is necessary to make it meet the relevant requirements without affecting the overall interests of the company.

2. Once the plan is finalized, the lawyer will conduct due diligence. The survey methods include: comprehensive and large-scale collection of relevant information from various parties, field inspections, interviews with relevant personnel, and investigation and verification with relevant departments.

3. Instruct the relevant personnel of the enterprise, regulate the corporate behavior, and initially establish the structure of a modern enterprise system, paving the way for the establishment of a joint stock company.

4. Assist enterprises to prepare and sign a series of relevant legal documents such as the "Promoter Agreement" and the "Articles of Association" of the company.

5. After completing the investigation and verification, the lawyer will compile a Legal Opinion on the establishment of the joint stock company based on the reform plan and the actual situation. The content of this document involves the assets, business, personnel, finance, and institutions of the joint stock company. One of the necessary legal documents in the application materials.

6. Assist enterprises and intermediaries in preparing application materials and provide professional legal advice on related issues.

7. Participate in the establishment of the joint stock company.

8. Other work required by enterprises and intermediaries.

1. After the establishment of a stock company, during the counseling period of the securities company, lawyers will assist in improving the enterprise system, strengthening the management mechanism of the company, strictly following the requirements of the stock company to regulate corporate behavior, and to achieve the purpose of issuance and listing.

2. Attend or attend relevant meetings of the company, assist the company's senior management staff, and assist companies in drafting legal documents in the business process.

3. Collect relevant information of the joint-stock company, conduct comprehensive due diligence in accordance with the law, and compile a "legal opinion" on the issuance and listing of the stock company's shares.

4. Participate in the drafting of the Prospectus, make a fair judgment on whether there are legal risks, and put forward special legal opinions on related issues.

5. Issue other relevant legal documents required by the competent authority according to law.

6. Work with various intermediary agencies to assist companies in the preparation of issuance application materials, make them as perfect as possible, and strive to pass the review as soon as possible.

7. Complete other tasks of the enterprise or intermediary.

8. During the above work, lawyers will provide laws, regulations, rules and national policies in a timely manner, answer legal advice at any time, and solve problems for enterprises.