Richard Xu is an associate in the firm’s Corporate and Securities Department. In that capacity, Richard focuses his practice on all aspects of corporate and securities law, with a particular focus on public and private offerings, financial regulatory and general corporate matters. He has extensive experience advising clients on cross-border capital markets transactions.

Prior to joining the firm, Richard was associated with another law firm with recognized securities practice in New York and worked as a key member of the US team at leading PRC law firms in Beijing, China on cross boarder capital markets transactions.

Richard has been admitted to practice law in the State of New York and is the member of the New York State Bar Association and the Asian American Bar Association of New York. He is a native speaker of Mandarin Chinese.

REPRESENTATIVE MATTERS AND CASES*

Richard advised issuers or underwriters on equity and debt (senior, subordinated, guaranteed, convertible and hybrid) securities offerings in the US and non-US markets, in registered (including IPOs, shelf registrations and takedowns) and non-registered (under Section 4(a)(2), Rule 144A and Regulation S) offerings, in particular:

• Advised on a number of Nasdaq and NYSE American IPOs and follow-on offerings by US and non-US issuers (including MingZhu Logistics Holdings Limited, UTime Limited, Elite Education Group International Limited, Global Internet of People, Inc., EZGO Technologies Ltd., Bon Natural Life Limited, Ostin Technology Group Co., Ltd., YanGuFang International Group Co., Ltd., Ispire Technology Inc., SU Group Holdings Limited, Linkage Global Inc, Dunxin Financial Holdings Limited, Datasea Inc., Bit Origin Ltd, QDM International Inc. and Arbor Rapha Capital Bioholdings Corp. I Hainan Manaslu Acquisition Corp., Industrial Tech Acquisitions II, Inc., TenX Keane Acquisition and Integral Acquisition Corporation 1 in connection with their SPAC IPOs);
• Advised on a number of Hong Kong IPOs and follow-on offerings by China-based issuers (including Kunming Dianchi Water Treatment, Putian Communication Group and Guangzhou Rural Commercial Bank);
• Advised on a number of hybrid securities offerings by financial institutions (including preference share offerings by Guangzhou Rural Commercial Bank and Bank of Zhengzhou);
• Advised on a number of 144A and Regulation S debt offerings (including those by CITIC Securities, Xi’an Qujiang Culture Holdings Co., Ltd., Pingxiang Urban Construction Investment Developing Company, Shandong Commercial Group Co., Ltd., Wuxi Industry Development Group Co., Ltd., Hangzhou Jianggan District Urban Construction & Comprehensive Development Co., Limited as well as other USD bond offerings backed by PRC local governments); and
• Advised issuers on Panda bond offerings by sovereigns, financial institutions and corporates on China’s interbank bond market (including Crédit Agricole S.A., Republic of Philippines and Hungary)

Richard advised US listed companies and investors on US securities laws compliance and SEC filings, and international financial institutions on PRC financial regulatory matters and licensing requirements.

*Include matters completed prior to joining the firm.