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 Cadwalader, Wickersham & Taft LLP and the US team at King & Wood Mallesons and Fangda Partners in Beijing, China on cross boarder debt and equity 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 Bit Origin Ltd, Bon Natural Life Limited, Datasea Inc., Dunxin Financial Holdings Limited, Elite Education Group International Limited, Eshallgo Inc, EZGO Technologies Ltd., Global Internet of People, Inc., Ispire Technology Inc., Linkage Global Inc, MingZhu Logistics Holdings Limited, Ostin Technology Group Co., Ltd., QDM International Inc., Samfine Creation Holdings Group Limited, SU Group Holdings Limited, Tantech Holdings Ltd., UTime Limited, WORK Medical Technology Group LTD and YanGuFang International Group Co., Ltd., and Arbor Rapha Capital Bioholdings Corp. I, Hainan Manaslu Acquisition Corp., Industrial Tech Acquisitions II, Inc., Integral Acquisition Corporation 1 and TenX Keane Acquisition in connection with their SPAC IPOs);
• Advised on a number of Hong Kong IPOs and follow-on offerings by China-based issuers (including Guangzhou Rural Commercial Bank, Kunming Dianchi Water Treatment and Putian Communication Group);
• Advised on a number of hybrid securities offerings by financial institutions (including preference share offerings by Bank of Zhengzhou and Guangzhou Rural Commercial Bank);
• Advised on a number of 144A and Regulation S debt offerings (including those by CITIC Securities, Hangzhou Jianggan District Urban Construction & Comprehensive Development Co., Limited, Pingxiang Urban Construction Investment Developing Company, Shandong Commercial Group Co., Ltd., Wuxi Industry Development Group Co., Ltd., Xi’an Qujiang Culture Holdings Co., Ltd., 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., Hungary and Republic of Philippines)

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