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Capital Market / Securities

As new financial products and trading systems continue to evolve in recent years, government authorities have tried to stay on top of their role to monitor the capital markets via the implementation of new or amended regulations; the ever-growing sophistication of fundraising activities also bring with them increased potential liabilities. The attorneys at Lee, Tsai & Partners have in-depth experience with securities matters and a thorough knowledge of securities regulations and corporate law. With our ability to provide comprehensive, professional legal services in the capital markets and securities sectors, our clients are able to obtain a clear financial advantage in a highly competitive financial world. Our services include but are not limited to:


  • Legal consulting services regarding the capital markets and securities sectors.
  • Professional consulting on legal matters arising in relation to fundraising and listing of securities.
  • Corporate financing.
  • Professional consulting regarding legal issues in relation to direct investments and startup investments.
  • Legal consulting services regarding private equity funds.
  • Legal consulting services regarding the relevant regulations in asset securitization, mutual funds, and asset management
  • Professional consulting regarding the relevant regulations for securities brokerages and transactions, as well as for derivative financial products.

Representative Matters


Our experience in corporate mergers and acquisitions and cross-border investments includes but is not limited to:


  • Acted as the legal adviser on Taiwan laws and regulations in connection with the rights issue of new units in a Singapore-based business trust in Asia.
  • Provided legal advice to an Australian global financial services group regarding the relevant Taiwan laws and regulations in connection with the listing of a Singaporean business trust on SGX.
  • Provided advice to a Singapore utilities group regarding syndicated loans.
  • Provided advice to a Japan-based leading company in cereal and paper pulp trading regarding syndicated loans and derivative financial products.
  • Provided advice to a well-known hedge fund corporation headquartered in New York City regarding relevant laws and regulations in relation to capital markets in Taiwan and Mainland China.