Core Viewpoint - The article discusses the regulatory measures taken by the Fujian Securities Regulatory Bureau against Guohao Law Firm (Shanghai) for deficiencies in their legal services during the IPO process of Huihan Microelectronics Co., Ltd. [1][4] Group 1: Internal Risk Control Issues - The internal risk control system of Guohao Law Firm was found to be inadequately executed, violating the regulations set forth in the "Management Measures for Law Firms Engaging in Securities Legal Business" [4][6] Group 2: Verification Procedures - The verification procedures were deemed non-compliant, including: - On-site verification records lacked signatures from the individuals or unit heads being investigated, and some records were unsigned by lawyers - Certain online inquiries did not have accompanying records - Inconsistencies in responses were not further investigated - Inadequate checks on significant external guarantees, large other payables, and qualifications of certain directors and senior management [5][6] Group 3: Documentation Standards - The preparation of working papers was found to be non-standard, including: - Missing email receipts from clients and suppliers, and many working papers lacked dates and source indications - Absence of index and page numbers in most working papers, with many lacking signatures from the responsible lawyers and the law firm's official seal [7][6] Group 4: Regulatory Actions - As a result of these findings, the Fujian Securities Regulatory Bureau decided to issue a warning letter to Guohao Law Firm, which will be recorded in the securities and futures market integrity archives. The firm is required to submit a written rectification report within 30 days of receiving the decision [7][8]

文/梧桐兄弟 12月12日，重庆证监局公布了对北京市中伦律师事务所采取出具警示函措施的决定。重庆证监局在现场检查中发现中伦所存在以下问题： 1、未按规定备案；2、 未查询项目委托人诚信档案；3、部分工作底稿不清晰、完整，"新铝时代首发上市"法律服务项目中部分项目工作底稿资料存在漏行、显示不完全等情况。 同日，重庆证监局还公布了对北京市君合律师事务所采取出具警示函措施的决定。重庆证监局在现场检查中发现君合所存在以下问题： 1、未按规定备案；2、未 查询项目委托人诚信档案；3、工作底稿管理不规范，项目底稿中无参与讨论复核人员签名确认材料，项目底稿中个别资料归类不当；4、法律意见书存在格式等 瑕疵，法律意见书存在未按规定载明声明事项段等问题。 关于对北京市中伦律师事务所采取出具警示函措施的决定 北京市中伦律师事务所： 我局在现场检查中发现你所存在以下问题： 一是未按规定备案。 2024年至检查日， 你所合伙人发生多次变更， 2025年9月1日，你所住所发生变更，上述事项 均未办理重大事项变更备案 ，违反《证券 服务机构从事证券服务业务备案管理规定》（证监会公告〔2020〕52号）第十六条第（一）项、第（二）项和《律 ...

Core Viewpoint - The article discusses the regulatory actions taken by the Jiangsu Securities Regulatory Bureau against Beijing Hairun Tianrui Law Firm for non-compliance during the IPO legal services for Zhongjian Technology Co., Ltd. [2][5][6] Group 1: Regulatory Issues - The law firm failed to follow proper verification procedures, neglecting the reliability of information and lacking signatures from responsible lawyers on key documents [5][6] - Work papers were inadequately prepared, with some investigation records lacking signatures from relevant individuals and missing essential details such as source identification and page numbering [5][6] - The legal opinion letter issued by the firm was incomplete, lacking necessary factual materials and essential content in the declaration section [5][6] Group 2: Compliance Violations - The actions of the law firm violated several provisions of the "Regulations on Securities Legal Services by Law Firms" and the "Management Measures for Law Firms Engaging in Securities Legal Business" [6] - The Jiangsu Securities Regulatory Bureau has mandated the law firm to rectify these issues and submit a written report within one month of receiving the decision [6] Group 3: Company Background - Zhongjian Technology Co., Ltd. was listed on the Growth Enterprise Market on May 16, 2019, with Everbright Securities as the sponsor and Beijing Hairun Law Firm as the legal service provider [6]

Group 1 - The Shanxi, Hunan, and Yunnan Securities Regulatory Bureaus announced the random selection results for on-site inspections of law firms engaged in securities legal services for the year 2025 [1][2][3] - Shanxi Securities Regulatory Bureau selected Shanxi Ningfeng Law Firm and Shanxi Huaju Law Firm for on-site inspections, with the inspection personnel listed [2][4] - Hunan Securities Regulatory Bureau will conduct a special inspection on Hunan Qiyuan Law Firm regarding the project of acquiring 51% equity of Yongda Co., Ltd. from Jiangsu Jinyuan High-end Equipment Co., Ltd. [4] - Yunnan Securities Regulatory Bureau randomly selected two law firms for on-site inspections related to securities legal services, including projects involving Yunnan Energy Investment Co., Ltd. and Yunnan Provincial Energy Investment Group Co., Ltd. [4]

Group 1 - The event "5.15-5.19 Small Investor Protection Publicity Week" was officially launched, aimed at enhancing investor protection awareness [1] - Securities lawyers play a dual role as "gatekeepers" and "trustees" in the capital market, ensuring the authenticity and completeness of documents while assisting issuers in compliance [4] - The emergence of securities rights protection lawyers has improved the environment for investor claims, with better compensation responses due to advancements in loss assessment methods and judicial maturity [5] Group 2 - Collaboration between securities lawyers and organizations like the China Securities Investor Service Center has led to successful mediation of investor disputes, demonstrating a balance of interests [5] - The increasing emphasis on the right to defense by regulatory bodies has resulted in a growing number of cases where defendants' opinions are considered, indicating a potential for greater involvement of securities lawyers in regulatory processes [5] - The commitment of securities lawyers to diligent work is seen as a significant effort towards investor protection [6]