Lawyer Chen Haoxin graduated from RenminUniversity of China with a Juris master degree. Currently, he holds the following positions: Off-campus Supervisor for Master's Candidates at the School of Civil, Commercial and Economic Law,ChinaUniversityofPoliticalScienceandLaw(CUPL)；Off-campusSupervisor for Master's Candidates at the School of Law, University of International Business and Economics (UIBE)；Secretary-General of the Commercial Arbitration and Mediation Research Institute, Beijing Dongcheng District LawyersAssociation；MemberoftheSecretariatofthe3rdM&A and Financing Committee, China Association for Public Companies (CAPCO)；Monitor of the 18th Session of the “Sunshine Program”for Young Lawyers, Beijing Lawyers Association；Director of the Beijing Zhejiang Enterprise Chamber of Commerce.

Lawyer Chen Haoxin specializes in handling various types of commercial dispute cases. He excels at exploring detailed facts of cases and identifying legal breakthroughs. Focusing on cutting-edge topics in financial dispute resolution, he has participated in multiple research projects commissioned by institutions such as the Supreme People's Court of the People's Republic of China, the Ministry of Justice of the People's Republic of China, and the National Association of Financial Market Institutional Investors (NAFMII). He has also published a number of professional articles in magazines and academic journals. Additionally, Lawyer Chenhas delivered practical lectures on financial law for master's students at China University of Political Science and Law and University of International Business and Economics on multiple occasions.

Since practicing as a full-time lawyer, he has assistedhis team in handling numerous cases, including the first case of fraudulent issuance of corporate bondsin China—which is also the first case in the field of securities disputes nationwide to be heard under the representative litigation system.

Client Services & Case Highlights

• 2021: Represented an accounting firm in filing a retrial application with the Supreme People's Court of the People's Republic of China (SPC) in a high-profile dispute over liability for misstatements in publicly issued corporate bonds. This case marked three firsts after the implementation of the new Securities Law: the first securities representative litigation case, the first bond misstatement dispute case with a publicly issued final judgment, and the first representative case involving fraudulent bond issuance. It has exerted far-reaching influence on judicial practice regarding misstatements in publicly issued bonds. (Selected into the “Top 10 National Classic Commercial Cases of 2022” by the SPC)

• 2022: Represented a securities company in the first-instance proceedings of a stock misstatement liability dispute at a local court. This case was a follow-up civil recovery action to a major “deceptive restructuring”case (one of the 20 typical illegal cases investigated by the China Securities Regulatory Commission (CSRC) in 2017) that was named by the CSRC Chairman, involving cutting-edge issues of liability division among internal responsible parties for misstatements.

• 2024: Provided comprehensive legal services to the subsidiary of a legal counsel client in the  “Zijing Storage” subrogation right dispute. The services included subrogation litigation, response to regulatory investigations, and internal liability litigation. This case was the first of its kind where intermediaries pursued recovery from suppliers and clients after making advance compensation.

• Handled a non-publicly issued stock misstatement case with a potential compensation amount exceeding RMB 500 million. The case involved investors subscribing for non-publicly issued stocks of a listed company through asset management product channels, with the core issue being the jurisdiction of people’s courts and arbitration commissions over misstatement cases. The original first-instance and second-instance courts both held that they had no jurisdiction and dismissed the plaintiff’s lawsuit. After representing the client in filing a retrial application with the SPC, the SPC issued a ruling in December 2023, ordering the original first-instance court to hear the case. Currently, the first-instance court has ruled in favor of all the investors’ claims after retrial.

• 2021: Represented a securities company (acting as the continuous supervision institution) in responding to investor lawsuits in a stock misstatement dispute related to the non-public issuance of stocks by a listed company. The listed company had been administratively penalized for failing to disclose non-operating fund occupation by related parties, guarantees provided to related parties, major litigation information, and the freezing of stocks held by the controlling shareholder in accordance with regulations. Starting from the fact that the securities company had no negative regulatory records, we argued from perspectives such as the particularity of continuous supervision obligations and the lack of causation between the plaintiff’s losses and the securities company’s performance of duties. Through our effective defense, the investors withdrew their lawsuits.

• 2021: Represented an asset management company (as the fund provider) in litigation proceedings of a contract dispute involving a “receivable claim transfer repurchase” transaction structure, claiming that the fund recipient and guarantor bear liability for breach of contract and guarantee liability respectively. Through our representation, the judgment rarely ordered the government party to bear joint and several liability, achieving a comprehensive successful outcome.

• 2021: Represented a commercial bank (as the priority client) in claiming rights against the trustee through litigation in a business trust contract dispute involving an underlying stock pledge repurchase, with a total subject matter value of RMB 1.5 billion.

• 2022: Represented a commercial bank (as the priority client) in the retrial of a structured trust dispute at the Beijing Financial Court. In the retrial of the first instance, unfavorable rulings were made for our client on issues suchas the validity of the structured trust contract and the determination of over-the-counter fund allocation. Through our representation, the Beijing Financial Court revoked the first-instance retrial judgment in the second instance, confirmed the validity of the trust, and ruled that the commercial bank did not need to bear any liability, fully achieving the client’s litigation objectives.

• 2024: Represented a leading trust company in responding to lawsuits filed by several junior clients in a trust contract dispute with a subject matter value of RMB 80 million. The junior clients claimed that the trust company failed to fulfill the risk disclosure obligation under the suitability obligation and illegally collected interest after suffering losses of all principal and related interest from investing in products issued by the trust company. We presented evidence and defended from perspectives such as the trust contract, therole positioning of the trust company, and the particularity of the project. Through our representation, the Beijing Financial Court dismissed all the plaintiffs’ claims.

• 2024: Represented a leading trust company in responding to a lawsuit filed by a junior client in a trust contract dispute with a subject matter value of RMB 66 million. The junior client alleged that the trust company had faults such as illegal promotion, failure to fulfill the suitability obligation, mismanagement, and inadequate information disclosure. We conducted a defense by carefully sorting out all materials related to the fundraising, investment, management, and exit stages of the project. Currently, the case is still under trial. During this period, we successfully represented the trust company in lifting the RMB 66 million bank account preservation applied for by the plaintiff.

• 2025: Represented a leading trust company in responding to a lawsuit filed by a junior client in a trust contract dispute with a subject matter value of RMB 260 million. The junior client claimed that the trust company had multiple breaches of contract, including violating investment restrictions, failing to close positions as agreed, and illegally holding a beneficiary meeting to extend the trust term. We responded from perspectives such as the plaintiff being a participant in securities market manipulation crimes with no actual capital contribution, the claimed trust principal losses and deficit make-up losses not actually occurring, and the trust company (as an administrative trustee) having performed its duties in accordance with the agreement. Currently, the case is still under trial.

• 2025: A listed company and 8 senior executives received a Pre-Penalty Notice from the CSRC for failing to timely disclose major litigation cases and omitting multiple major lawsuits in its annual report. We accepted the entrustment of the listed company and 7 senior executives to conduct defense for all parties to reduce or exempt their liabilities. After reviewing more than 5,000 pages of case files, we designed targeted defense strategies for the listed company and all senior executives, and efficiently prepared the defense materials for all parties within 2 weeks. During the hearing, through our representation, the CSRC hearing personnel paid close attention to the facts we claimed and conducted a detailed review of the defense opinions of the relevant parties. Currently, the case is still under trial.

• 2025: A listed company received regulatory measures and an administrative penalty decision from the CSRC respectively for two independent misstatement acts. After the Hangzhou Intermediate People’s Court first made two unfavorable judgments against the listed company, all cases were transferred to the Wenzhou Intermediate People’s Court. After the case transfer, we accepted the entrustment of the listed company to respond to lawsuits filed by nearly 1,000 investors. We conducted effective defense from the perspectives of materiality and determination of the disclosure date. Currently, in the first phase of the case, we have reached a settlement agreement highly favorable to our client with some investors; in the second phase, we will represent the listed company in selecting and participating in the trial of model cases.

Publications & Research Engagements

• “Discussion on the Application of the New Provisions on Misstatements in Bond Misstatement Disputes” (Bond, Issue 3, 2022)

• “Practical Research on the Arbitrability of Securities Misstatement Disputes | Securities Law Review” (Published on   “Tiantong Litigation Circle”, July 2022)

• “How Should 'Economic Police' Bear Liability? — Civil Liability of  Accounting Firms in the Era of the New Provisions on Misstatements | Securities Law Review”(Published on “Tiantong Litigation Circle”, February 2022)

• “Overview of Key Revisions to the New Provisions on Misstatements | Tiantong Quick Review” (Published on “Tiantong Litigation Circle”, January 2022)

• “Rigid Redemption in Trust Disputes and Its Effectiveness System”(Contemporary Financier, Issue 8, 2020)

• “Three Tables to Understand the Constituent Elements and Burden of Proof Allocation of Bond Civil Liability | Bond Law Review Issue 20” (Published on “Tiantong Litigation Circle”, September 2020)

• “Interpretation of the Joint Guarantee System in the Civil Code Era | Tiantong Quick Review” (Published on “Tiantong Litigation Circle”, January 2021)

• “Main Types of Bond Disputes Involving Securities Companies and Response Strategies | Bond Law Review Issue 28” (Published on “Tiantong Litigation Circle”, February 2021)

• 2021: Participated in the SPC’s Major Judicial Research Project — “Study on Legal Issues in the Trial of Business Trust Dispute Cases”

• 2022: Participated in the Ministry of Justice’s National-Level Scientific Research Project on Rule of Law Construction and Legal Theory — “Study on Practice Risks and Liability Bearing of Law Firms”

• 2021: Participated in the “NAFMII Research Program” Project (hosted by the National Association of Financial Market Institutional Investors) — “Study on the Improvement of the Bond Trustee System”

• 2022: Participated in the  “NAFMII Research Program” Project—“Legal Liability of Intermediaries for Misstatements in the Bond Market”(Awarded  “Excellent Research Project”)

• 2023: Participated in the  “NAFMII Research Program” Project —  “Practical Research on the Arbitrability of Securities Misstatement Disputes”

• 2023: Participated in the Research Project of the China Association for Public Companies (CAPCO) —  “Improvement of the Directors’ and Officers’ Liability Insurance System under the Comprehensive Registration-Based IPO System”

• 2024: Participated in the CAPCO Research Project — “Regulation of Behaviors of Controlling Shareholders and Actual Controllers” (Recognized as “Annual Research Achievement”)

• 2024: Participated in the “NAFMII Research Program” Project — “Analysis on the Application of the Safe Harbor Rule for Predictive Information in the Credit Rating Field”