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Cathy CHEN
Non-equity Partner / Shanghai
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Tel 021-60613370
Email chencathy@zhonglun.com
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Practices
Compliance & Investigation, Investment/M&A & Corporate Governance, Financial Products & Trusts
Cathy CHEN
Cathy practices in compliance and investigation, financial products and trusts, investment/M&A, and corporate governance.
With deep expertise in financial regulatory and compliance, fintech, and cross-border businesses, she advises both global and China-based leading financial institutions, domestic and cross-border payment platforms, and clients in the e-commerce and digital entertainment industries. She is adept at end-to-end compliance system build-out, end-to-end financial license procurement, financial product design, business model evaluation, and platform governance. Cathy also has substantial experience in data compliance and privacy protection, where she has advised multiple financial institutions and leading internet companies on trading system development, cross-border data flows, and personal information protection. Drawing on her prior experience in financial institutions and cross-border ventures, she offers significant insight into regulatory liaison/response and global expansion of Chinese businesses.
Cathy holds the CIPP/E and CAMS certifications.
Representative Matters
Financial Regulatory and Compliance
Advised JPMorgan on establishment of its securities entity in China and provided ongoing legal and compliance advice regarding its securities-related business operations
Advised JPMorgan on acquiring equity interests in a PRC futures company and a PRC fund management company
Advised globally recognized financial institutions on internal investigations
Advised leading internet enterprises for digital entertainment businesses, cross-border payment mechanisms, and global expansion initiatives
Advised prominent e-commerce platforms on cross-border e-commerce businesses and the related payment processing, supply chain, and logistics operations
Advised multiple internationally renowned financial institutions on matters pertaining to national security reviews, critical data protection, and personal information compliance in China
Advised multiple well-known cross-border payment companies on licensing applications, business assessments, contract drafting and review, and investment/financing matters
Advised American Express on the license approved by the People’s Bank of China (PBoC) to establish an onshore bank cards RMB clearing network
Financial Products and Trusts
Advised a prominent financial institution on its financial derivatives business
Advised a leading hedge fund on the establishment of a wholly foreign-owned enterprise (WFOE) for NPL and NPL acquisitions, spearheading liaisons with regulatory authorities regarding business models and licenses
Investment/M&A and Corporate Governance
Represented Alibaba in the acquisition of Ele.me for USD 9.5 billion and represented Ele.me in its 100% acquisition of Baidu Waimai
Represented Blackstone in its acquisition of Shya Hsin's cosmetics packaging business
Represented Swire in its acquisition of equity interests in the bottling operations from the Coca-Cola company in China
Represented Olympus Capital in its investments in the wastewater and effluent treatment industry in China
Represented Honeywell in its spin-off of its turbo charger and homes businesses by way of a series of transactions, including demerger of its China investment holding company and demerger of its subsidiary
Assisted prominent financial institutions in streamlining the governance of the shareholders' general meeting, board of directors, and board of supervisors across its commercial banking and investment banking lines, providing legal and compliance support to its Board Secretary Office
Honors and Awards
For Deal
“Alibaba’s acquisition of Ele.me for USD 9.5 billion”, M&A Deal of the Year, Merger Market and Asia Legal Business, 2019
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Bar Admissions/Professional Qualifications
PRC Bar
Certified Information Privacy Professional in Europe (CIPP-E) by International Association of Privacy Professionals (IAPP)
Certified Anti-Money Laundering Specialist (CAMS) by ACAMS
Securities Practitioner Qualification in PRC -
Education
Cognitive Intelligence Project, Department of Psychological and Cognitive Sciences, Tsinghua University
LL.M. in International Law, Fudan University
LL.B., Southwest University of Political Science and Law -
Professional Experience
Legal Professional, Internationally Renowned Payment Company
Senior Manager, Legal, American Express
Secondee lawyer, JPMorgan
Senior associate, Fangda Partners LLP -
Languages
Chinese
English