Xing Ying is a Copartner and senior consultant of Guantao Law Firm Shenzhen Office. She has been engaged in legal compliance and risk control in the mutual fund industry for 21 years. She has served as the inspector general of Minsheng Jiayin Fund Company, as well as the director or legal officer of the supervision and audit department of Dacheng Fund, Manulife Fund, Founder Fubon Fund, and Jianxin Fund.
Before becoming a lawyer, Xing Ying had been working on the front line of securities investment funds. She is familiar with the laws, regulations and regulatory requirements of securities funds, understands the organizational structure and division of labor of fund companies, business processes of various lines, product structure, transaction model, information technology system, corporate governance, industry risks and disposal, etc. She has a detailed understanding of the rules, processes and systems of various businesses such as the fundraising, sales suitability, investment transactions, operations, information disclosure, product liquidation, etc. of mutual and private products, understands the business processes with sales agencies, custodian banks and external cooperative institutions, and has rich practical experience in compliance risk control of fund companies and compliance control of subsidiaries. During her work at the fund company, Xing Ying was invited by the regulatory authorities many times to participate in discussions on legislation and difficult industry issues. She was a member of the Compliance Committee of the China Securities Investment Fund Industry Association and the Compliance Committee of the Shenzhen Fund Industry Association, and has a better understanding of regulatory thinking and industry risk dynamics.
As an arbitrator for many arbitration institutions, Lawyer Xing Ying has a deep understanding of the disputes caused by "poorly written fund contracts" through the trial of asset management cases. Therefore, she has unique insights on how to control risks in various links of the product life cycle. These experiences are also integrated into the legal services provided to clients.
At the beginning of 2023, Lawyer Xing Ying began to work as a full-time lawyer. She made full use of the compliance and risk control experience accumulated during her work in mutual fund companies. She has provided product and compliance effectiveness assessment legal consulting services to many mutual fund clients, and provided long-term legal consulting, due diligence, and special compliance inspection services to leading private securities fund managers and private equity fund managers.
Lawyer Xing Ying has been invited to conduct multiple training sessions on mutual and private funds for institutions such as the Shenzhen Lawyers Association, China Capital Market Institute, CITIC Securities Custody Department, Shenzhen Investment Fund Association, and Zhixin Research Institute. She has published many articles in the asset management field on the "Guantao" and "Fund Compliance Matrix" public accounts, and her professional level is highly recognized by the industry.
Areas of expertise
Mutual funds, Private (Securities, Equity) funds, Asset management, Financial management, Corporate business, Asset management litigation and arbitration
Main achievements
Legal services for mutual fund managers - compliance effectiveness assessment:
• Provide compliance effectiveness assessment services to a Beijing fund company (2024)
• Provide compliance effectiveness assessment services to a Shenzhen fund company (2024)
• Provided special compliance assessment services on information disclosure for a Beijing fund company (2024)
• Provide compliance effectiveness assessment services to a Shenzhen securities asset management company (2024)
Legal services for mutual fund managers - Legal services for mutual fund products:
• Providing product legal services to a Beijing fund company (2024)
• Providing product legal services to a Shenzhen fund company (2024)
• Providing legal services for product registration, holders' meeting and product liquidation for a Beijing fund company (2023)
Legal services for mutual fund managers - dispute resolution:
• Providing legal services for two lawsuits/arbitrations for an asset management subsidiary of a Shenzhen fund company (2023)
• Providing legal services for a Shenzhen fund company in three lawsuits/arbitrations (2023)
Legal services for mutual fund managers—others:
• Providing consulting services for the shareholders' meeting of a Beijing fund company (2024)
• Providing special legal services for a Shenzhen fund company and its special account subsidiary (2023)
• Providing special legal research services to a Shenzhen fund company (2023)
• Providing legal due diligence services for a state-owned enterprise in Beijing to acquire shares in a fund company (2024)
Legal services for private equity fund managers - compliance assessment:
• Providing special legal services on compliance assessment for a private equity fund manager in Beijing (2024)
• Providing special legal services on compliance assessment for a private equity fund manager in Beijing (2024)
Legal services for private equity fund managers - long-term legal consulting services:
• Providing long-term legal consulting services to a leading private equity fund manager in Beijing (2023)
• Providing long-term legal consulting services to a large state-owned private equity fund manager in Tianjin (2024)
• Providing long-term legal consulting services to a private equity fund manager in Shenzhen (2024)
• Providing long-term legal consulting services to a leading private equity fund manager in Shenzhen (2024)
Legal services for private equity fund managers - special legal services:
• Providing special legal services for a private equity fund manager in Beijing to change its compliance and risk control personnel (2024)
• Providing special legal services for a private equity fund manager in Beijing on the change of controlling shareholder/legal representative (2024)
• Providing multiple due diligence legal services to a large private equity fund manager in Tianjin (2024)
Social part-time job
• Arbitrator of China International Economic and Trade Arbitration Commission (2021.5-2026.5)
• Arbitrator of Shenzhen Court of International Arbitration (2022.2-2025.2)
• Arbitrator of Shanghai Arbitration Commission (2022.12-2025.12)
• Arbitrator of Zhuhai Arbitration Commission (2021.9-2026.9)
• Arbitrator of Shanghai International Economic and Trade Arbitration Commission
• Adjunct Professor of the School of Law, China University of Political Science and Law
Work Experience
• Hebei Lingxiang Law Firm
• Senior Manager of Product Department and Deputy Director of Supervision and Audit Department of Xiangcai ABN AMRO Fund Management Co., Ltd.
• Corporate Lawyer of Dacheng Fund Management Co., Ltd.
• General Manager of Legal and Compliance Department, TEDA Manulife Fund Management Co., Ltd.
• Director of Supervision and Audit Department, Founder Fubon Fund Management Co., Ltd.
• Inspector General and Director of Supervision and Audit Department of Minsheng Jiayin Fund Company
• Part-time Researcher at the Postdoctoral Mobile Station of the Institute of Finance, Chinese Academy of Social Sciences
• Lawyer at Guantao Law Firm Shenzhen Office (2023.2-Present)
Education
• Bachelor of Economic Law, China University of Political Science and Law (1987.8-1991.7)
• Master of Economic Law, China University of Political Science and Law (1994.8-1997.7)
• PHD in Economic Law, China University of Political Science and Law (1998.8-2001.7)
Working Language
• Chinese
