Hongwei Ma

Work Highlights

（1）代理创业板借壳重组史上涉案金额最大的操纵证券市场案。本案涉案交易金额超过40亿元，获利高达14亿元。马宏伟律师带领团队创新性采用可视化辩护，以动画动态呈现长达5年、涉及88个账户的复杂交易逻辑，精准界定当事人知情程度与角色作用，成功在侦查及审查起诉阶段为当事人争取取保候审，后续辩护中将其犯罪地位由主犯转化为从犯，争取多项从轻情节，为案件处理奠定坚实基础。

（2）作为上海头部私募机构代理律师，提供合规咨询、刑事辩护以及民事诉讼服务。本案为首例“伪金交所”清理整顿背景下查办的巨额非法集资案件，涉案融资项目均为“十四五”规划重点服务产业。马宏伟律师带领团队介入后，通过刑事民交叉处置策略，成功阻断十余亿元资金外流出境，为客户实际控制人争取2次取保候审，并将集资诈骗罪控制为以非法吸收公众存款定罪，在二审降低一年刑期，同时实现投资者索赔诉讼全面撤诉。

（3）承办上市公司重大财务造假刑事风险防控及投资者索赔应对案。本案上市公司连续三年财务造假，被认定信息披露违法，面临刑事追诉与大规模投资者索赔双重风险。马宏伟律师带领团队通过系统排查历史信披风险、精准界定责任范围，公司时任总裁及现任常务副总裁最终未被追诉，全部刑事涉案主体取保候审，为后续辩护奠定有利基础。同时，代理公司与司法机关成功探索“示范案件判决+关联案件调解”的创新审理及纠纷解决机制，大幅降低上市公司赔偿责任，现任涉诉高管均无需承担赔偿责任，其余时任高管连带赔偿比例低至5%，为同类财务造假风险处置提供可复制实践样本。

(1)Represented the defendant in the largest-ever market manipulation case by amount involved in connection with a backdoor listing restructuring on China’s ChiNext Market, with a case value exceeding RMB 4 billion. Led by Attorney Ma Hongwei, the legal team adopted visual defense techniques, using dynamic animations to present the complex trading logic spanning five years and involving 88 accounts, accurately delineating criminal liability. Successfully secured bail pending trial for the client, and achieved a reduction of the client’s role from principal offender to accessory offender, together with multiple mitigating circumstances.

(2)Handled the nation’s first insider trading case arising from cross-listed company mergers and acquisitions, and the first case where liability was imposed despite share sales during a sensitive period, for a leading listed company in the new energy industrial chain. Provided one-stop integrated legal services covering compliance, criminal and civil matters throughout the process. Facilitated the full withdrawal of all investor claims and secured exemption from criminal liability for the controlling person. Continued to pursue a not-guilty verdict for the company, establishing a model for the full-chain risk resolution of insider trading cases.

Handled a listed company’s financial fraud case, resolving dual risks of criminal prosecution and investor compensation claims. Through effective legal strategy and defense, the then-president and current executive vice president of the company were not prosecuted, and all involved parties were released on bail pending trial. Meanwhile, represented the company in exploring the innovative mechanism of “model case judgment + related case mediation” with judicial authorities, which substantially reduced the company’s compensation liability. The current senior executives involved in litigation bear no compensation liability, and the joint and several liability ratio of the then-senior executives was reduced to 5%.

Practice Areas

金融、证券监管合规与行政复议；证券虚假陈述民事争议解决；企业合规；金融、证券犯罪辩护；重大商事争议解决；公司治理；内部调查。

Financial and Securities Regulatory Compliance and Administrative Reconsideration, Civil Dispute Resolution Arising from Securities Misrepresentation, Corporate Compliance, Criminal Defense in Financial and Securities Crimes, Resolution of Major Commercial Disputes, Corporate Governance, Internal Investigations.

Career

2003年至2004年 江苏省常州市公安局警官；

2008年至2012年 公安部经济（证券）犯罪侦查局警官；

2012年至2018年 美国运通公司（American Express）全球风控及安全部负责人；

2018年至2022年 上海市信本律师事务所高级合伙人（管理合伙人）；

2023年至今 北京大成（上海）律师事务所高级合伙人。

2003 - 2004: Police Officer, Public Security Bureau of Changzhou City, Jiangsu Province

2008 - 2012: Police Officer, Economic (Securities) Crime Investigation Bureau, Ministry of Public Security

2012 - 2018: Head, Global Risk Control and Security Department, American Express

2018 - 2022: Senior Partner (Managing Partner), Shanghai Xinben Law Firm

2023 - Present: Senior Partner, Beijing Dacheng Law Offices, LLP (Shanghai Office)

Professional Memberships

律师

美国注册舞弊审查师

美国注册法务会计师

PRC Attorney at Law

USA Certified Fraud Examiner（CFE）

USA Forensic Certified Public Accountant（FCPA）

Publications

1.《通往规制之路——资本市场的刑法逻辑》

2.《证券合规——利用未公开信息交易的法律规制与风险管理》，

3.《金融证券重大合规风险防控指南》

4.《上市公司证券合规实务指引》

1.The Road to Regulation — Criminal Law Logic of the Capital Market

2.Securities Compliance — Legal Regulation and Risk Management of Trading with Unpublished Information

3.Guidelines for the Prevention and Control of Major Compliance Risks in Finance and Securities

Practical Guidelines for Securities Compliance of Listed Companies

Personal

马宏伟律师 系北京大成律师事务所资本市场行委会牵头人、合规与风险控制专委会联合牵头人、中国区合规与风险控制专业带头人、大成上市公司信息披露合规法律服务研究中心联合牵头人、资本市场行委会证券违法处置中心联席牵头人、刑事专业委员会证券犯罪研究中心联合负责人；上海办公室高级合伙人、资本市场行业组负责人；上海律协证券合规与纠纷专业委员会副主任；华东政法大学刑法学硕士，上海交通大学上海高级金融学院EMBA，上海交通大学凯原法学院证券犯罪研究中心外聘研究员、证券合规业务研究委员会主任，上海财经大学法学院上市公司法治研究中心研究员。曾在国家公安部从事经济（证券）犯罪侦查工作，参与多起重特大要案办理；曾在渣打银行、美国运通等世界500强跨国金融集团从事法务、风险控制、反欺诈及反腐败等工作。

Lawyer Ma Hongwei is the Leader of the Capital Markets Practice Committee of Dentons, Co-Leader of the Compliance and Risk Control Special Committee of Dentons, China Regional Leader of the Compliance and Risk Control Practice Area of Dentons, Co-Leader of the Dentons Research Center for Legal Services on Information Disclosure Compliance of Listed Companies, Co-Leader of the Securities Violation Disposal Center under the Capital Markets Practice Committee of Dentons, and Co-Head of the Securities Crime Research Center under the Criminal Law Special Committee of Dentons Law Firm; he is also a Senior Partner and Head of the Capital Markets Industry Group of the Shanghai Office; Deputy Director of the Securities Compliance and Dispute Resolution Special Committee of the Shanghai Bar Association; Master of Laws in Criminal Law from East China University of Political Science and Law, EMBA from the Shanghai Advanced Institute of Finance of Shanghai Jiao Tong University, Adjunct Research Fellow and Director of the Securities Compliance Practice Research Committee at the Securities Crime Research Center of the Koguan Law School of Shanghai Jiao Tong University, and Research Fellow at the Research Center for the Rule of Law of Listed Companies of the Law School of Shanghai University of Finance and Economics.

He once served in the Ministry of Public Security of the People's Republic of China engaging in the investigation of economic (securities) crimes, and participated in handling a number of major and extraordinarily serious criminal cases. He also worked in Fortune Global 500 multinational financial groups including Standard Chartered Bank and American Express, undertaking legal affairs, risk control, anti-fraud and anti-corruption work.

Industry Sector Expertise

1.金融、证券监管合规与行政复议：擅长为银行、券商、基金公司及上市公司搭建监管合规体系并提供全流程法律服务，在行政处罚听证领域成果显著，助力多家金融机构及从业人员减轻或免除处罚，服务覆盖证券发行、交易、资产管理等核心监管领域。

2.金融、证券民事争议解决：专攻金融证券领域民事案件代理与风险化解，代理多起上市公司证券虚假陈述责任纠纷，取得减轻赔偿、原告撤诉等有利结果，并提供舆情应对、和解方案设计等延伸法律服务。

3.金融、证券犯罪辩护：专注金融证券领域刑事犯罪辩护，为上市公司、金融机构及董监高、实控人等核心人员提供全链条刑事风险防范与辩护策略，精通证券稽查与刑事司法衔接流程，代理多起公安部、最高检督办重大案件，取得缓刑、大幅减刑等良好辩护效果。

4.重大商事争议解决：代理股权转让、对赌协议、公司控制权争夺、不良资产处置等复杂商事诉讼与仲裁案件，擅长重大疑难案件诉讼策略制定，累计处理争议标的额逾百亿元，在多起标的超十亿元案件中为客户实现全额胜诉、调解回款或仲裁裁决执行，客户覆盖头部金融机构及跨国集团。

1.Financial and Securities Regulatory Compliance & Administrative Review: Specializes in developing regulatory compliance systems and providing full‑cycle legal services for banks, securities firms, fund management companies and listed companies. Has a strong track record in administrative penalty hearings, assisting numerous financial institutions and practitioners in mitigating or avoiding penalties. Services cover core regulatory areas including securities issuance, trading and asset management.

2.Financial and Securities Civil Dispute Resolution: Focuses on civil litigation and risk mitigation in the financial and securities sectors. Has represented clients in multiple civil liability disputes arising from false statements in securities offerings by listed companies, achieving favorable outcomes such as reduced compensation and voluntary dismissal by plaintiffs. Also provides extended legal services including public opinion management and settlement strategy design.

3.Defense in Financial and Securities Crimes: Dedicates to criminal defense in financial and securities crimes. Offers full‑chain criminal risk prevention and defense strategies for listed companies, financial institutions, directors, supervisors, senior executives and controlling persons. Well‑versed in the coordination between securities regulatory investigations and criminal proceedings. Has represented many major cases supervised by the Ministry of Public Security and the Supreme People’ s Procuratorate, securing favorable results including suspended sentences and substantial sentence reductions.

Resolution of Major Commercial Disputes：Represents clients in complex commercial litigation and arbitration matters involving equity transfers, valuation adjustment mechanisms (VAM), corporate control disputes and non‑performing asset disposal. Excels in litigation strategy for high‑stakes and complex cases. The total disputed amount handled exceeds RMB 10 billion. In multiple cases with subject matter over RMB 1 billion, has achieved full victories, successful settlement and recovery, or enforcement of arbitral awards for clients, including leading financial institutions and multinational groups.

Expert in these Jurisdictions

中国境内法

PRC (Mainland)

Languages Spoken

中文、英语

Chinese, English

Education

Awards