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Tracy Chen

Partner
Practice Areas
Asset Management Banking and Financial Services Compliance
Qualifications
PRC Legal Profession Qualification
Languages
Mandarin English

Profiles

Ms. Chen received her Bachelor’s Degree of Law from Shanghai University of International Business and Economics, and her Master’s Degree in Civil and Commercial Law from East China University of Political Science and Law. She joined Llinks Law Offices in July 2013.

Ms. Chen has extensive experience in the area of retail funds and other asset management. Ms. Chen has handled a wide variety of legal matters related to the establishment, share transfer, ESOP of fund management companies (“FMCs”) and their subsidiaries as well as the application for retail fund management license. She has advised numerous retail fund managers in the areas of fund investment, operation, product design and corporate governance, etc. In addition, Ms. Chen has involved in the launch of more than hundreds of retail funds as a representative attorney. Ms. Chen is familiar with all legal aspects related to retail funds and private asset management business.

Achievements

Experience

  • Represented Nanhua Fund in the establishment of a public fund management company (the first fund company established by a futures company)

  • Represented Pengyang Fund in the establishment of a public fund management company (the first successful "private-to-public" case)

  • Represented BlackRock in the establishment of a public fund management company (the first wholly foreign-owned fund company)

  • Represented Fitch in its application for the qualification to conduct credit rating business in China

  • Represented China Universal in the implementation of an employee stock ownership plan (among the first batch of pilot employee shareholding schemes for state-owned financial institutions)

  • Represented a fund company in the change of a public fund manager (the first market-based manager change project)

  • Represented China Resources Trust in creating the first securities-type active QDII trust plan

  • Represented public fund managers in the creation of the first batch of innovative public fund products, including pension target funds, MOM and active ETFs

  • Represented asset management institutions in the evaluation of the effectiveness of their compliance management.

Intelligence

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