Kate Yin

Practice Areas

MS. YIN'S PRACTICE AREA IS GOVERNMENT ENFORCEMENT AND REGULATORY COMPLIANCE.

Ms. Yin is a recognized leader in complex government enforcement, internal investigation and regulatory compliance, especially challenging crossborder matters. Ms. Yin has been ranked as band 1 lawyer for “Corporate InvestigationAnticorruption” by Chambers Asia and “RegulatoryCompliance” and “Data Protection” by Legal 500, and “Regulatory and Compliance Lawyer of the Year” by China Law Practice.

Ms. Yin has represented clients in a wide arrange of areas, such as antibribery, antiunfair competition, data protection, accounting fraud, securities law, antimoney laundering, conflict of interest, trade secret and sanction and export control. With deep insights into government enforcements and market practices, Ms. Yin is highly sought after in most challenging government enforcements and corporate investigations, particularly those involving multijurisdictions. Ms. Yin has successfully defended clients in government enforcements and helped clients avoid hefty penalties and headline stories.

Ms. Yin participated in various high profile cases such as GSK Chinese commercial bribery prosecution and Siemens FCPA monitorship. Highly regarded as a leader in the compliance field, Ms. Yin has been engaged by the CLA under the Ministry of Justice as the expert on compliance to author the Annual Blue Book on Compliance in China for the last six years. Ms. Yin is also an expert of TC260 responsible for drafting implementation measures for the Cyber Security Law.

Anticorruption and multilateral bank sanctions are among Ms. Yins areas of expertise. Ms. Yin has extensive experience in providing comprehensive legal services relating to antibribery and multilateral bank sanctions for multinational and Chinese companies, including establishing tailormaid compliance programs, conducting complex internal investigations, evaluating compliance risks in cuttingedge business models, and responding to government enforcements and crisis management.

Data compliance is another practice area of Ms. Yins expertise. Ms. Yin helps clients establishing global data protection program, conducting data compliance due diligence, advising client on challenging crossborder data transfer involving state secrets, important data and personal information reviews in connection with government enforcements and litigation as well as daily operation.

Ms. Yin also has extensive experience in export control and sanctions. Ms. Yin has represented a number of stateowned and private companies listed on the Entity List by the BIS, establishing sanctions and export control compliance program, assist clients in a wide range of industries on export control and sanction risks under PRC laws.

Publications

Author, “Impact of Administrative Enforcement Law”, Compliance Forum (February 18, 2021)

Author, “Chinas Blocking Statute”, Compliance Forum (January 11, 2021)

Author, “Annual Compliance Blue Book of China”, CLA (December, 2020)

Author, “Chinas Data Protection Law and Enforcement Yearend Review”, Compliance Forum (December 30, 2020)

Author, “Chinese Childrens Privacy Law Now in Effect”, IAPP (October 3, 2019)

Author, “What You Need to Know About Chinas Draft Measures on Cross Border Data Transfer”, IAPP (September 10, 2019)

Author, “Enforcement by the Chinese and U.S. Governments Triggered by 3.15 Gala”, Compliance Review (March 15, 2019)

Author, “Chinese Data Protection Regulators Enforcement Agenda for 2019”, IAPP (February 26, 2019)

Author, “SOEs Establishing Compliance Program”, Compliance Review (November 26, 2018)

Author, “20172018 Chinas Annual Compliance Blue Book”, the CLA and the CCPIT (September 15, 2018)

Author, “Corporate Defense for Commercial Bribery Under the Amended AUCL”, Compliance Review (January 14, 2018)

Author, “20162017 Chinas Annual Compliance Blue Book”, the CLA and the CCPIT (June 25, 2017)

Author, “AntiCorruption Provisions in ThirdParty Contracts in China”, The FCPA Reporter (June 7, 2017)

Author, “Anticorruption Due Diligence in China”, Practical Law China of Thomas Reuter (April 19, 2017)

Author, “The Sword of Damocles in the Information Age: How to Face the New Challenges under the Chinese Cybersecurity Law”, The Cybersecurity Law Reporter (January 22, 2017)

Author, “Compliance Risk of Providing Sales Incentives Michelin and Other Tire Companies Commercial Bribery Cases”, China AIC Reporter (中国工商报) (January 19, 2017)

Author, “20152016 Report on Chinese Commercial Bribery The Annual Blue Book on Chinese Commercial Bribery”, jointly published by China Institute of Corporate Legal Affair under Chinese Ministry of Justice (May 20, 2016)

Author, “20142015 Report on Chinese Commercial Bribery The First Blue Book on Chinese Commercial Bribery”, jointly published by China Institute of Corporate Legal Affair under Chinese Ministry of Justice and LexisNexis (January 10, 2015)

Quoted, “Law to Set Off Crusade Against Business Bribes”, South China Morning Post (May 26, 2016)

Quoted, “China May See Another Surge of Anticorruption Enforcement”, Legal Daily (May 24, 2016)

Quoted, “China FCPA Due Diligence Hits New Levels Amid MA Spree”, Forbes (March 17, 2015)

Quoted, “China Has Entered into a New Era of Anticommercial Bribery Enforcement”, Legal Weekly (January 17, 2015)

Quoted, “Time for Chinese Company Wake Up A Special Interview of Yunxia Yin”, Legal Weekly (January 17, 2015)

Quoted, “AntiCommercial Bribery Enforcement Led by the FCPA Enforcement”, Legal Weekly (January 17, 2015)

Quoted, “Challenging Issues in Building Compliance Program by SOEs”, Legal Weekly (January 17, 2015)

Quoted, “High Risk Industries and Enterprises for Commercial Bribery”, Legal Weekly (January 17, 2015)

Quoted, “The First Blue Book on Chinese Commercial Bribery SOEs and Private Companies Should Both be on Guard”, China Healthcare, (January 16, 2015)

Quoted, “The First Blue Book on Chinese Commercial Bribery FMCG and Real Estate Industries Facing Higher Commercial Bribery Risk”, Peoples Daily, (January 12, 2015)

Quoted, “The First Blue Book on Chinese Commercial Bribery”, Legal China, (January 11, 2015)

Languages Spoken

-English

-Mandarin

Education

Experience

Government Enforcement and Crisis Management:

-Represent a leading U.S. technology company in responding to criminal and administrative enforcement in China and the U.S., help the company conduct an indepth internal investigation and take remedial measures, and the DOJ eventually declined prosecution.

-Represent an executive of a Chinese company listed in the U.S. in a joint enforcement case involving complex securities fraud and antimoney laundering allegations by the DOJ and the SEC, the executive was ultimately not convicted for any prison term.

-Represent GSK in responding to anticorruption enforcement by the Chinese government, and conduct indepth internal investigations.

-Represent the Chairman of a Chinese company listed in the U.S. in an investigation by the DOJ, and the Chairman ultimately received no penalty.

-Represent a Chinese company listed in the U.S. in an investigation by the SEC and the DOJ, assist the company in conducting an indepth internal investigation, and the client has reached a settlement with the U.S. government with minimal penalties.

-Represent a Chinese company listed in Hong Kong in response to a joint investigation by the U.S. government and the Hong Kong Securities and Futures Commission, and help the company establish comprehensive compliance program. The company was not penalized by the U.S. nor Hong Kong governments.

-Represent a wellknown pharmaceutical company in response to the U.S. governments investigation under the FCPA, and help the company conduct an indepth internal investigation.

-Assist stateowned and private Chinese companies listed on the Entity List by the BIS to respond to the crisis and establish sanctions and export control compliance program.

-Represent a Chinese company in responding to an investigation of the Crime of Environmental Pollution by the PSB and the Procuratorate, and assist the client in achieving good results with minimum penalties.

-Represent a venture fund partner in a criminal investigation of the Crime of Illegally Conducting Business and the Crime of Money Laundering by the PSB, and assist the client in obtaining leniency sentence.

-Represent a leading U.S. company in a criminal investigation of the Crime of Illegally Obtaining Personal Information by the Chinese PSB, and the client was eventually not penalized.

Internal Investigation:

-Represent the Audit Committee of a Chinese company listed in the U.S., to conduct independent internal investigation in responding to Muddy Waters short selling report, and obtained conclusive results within a few weeks, based on which the client received multibillion USD payment for an asset sale.

-Represent a wellknown U.S. listed Chinese company in an internal investigation and assist client in complex disputes with major shareholders.

-Represent the audit committee of a wellknown company listed in both the U.S. and Hong Kong in an internal investigation, and assist the client in handling disputes with implicated employees and establishing an effective compliance program.

-Represent a Fortune 50 company in an internal investigation of potential violations of antibribery laws and accounting fraud.

-Represent the Audit Committee of a biopharmaceutical company listed on the NASDAQ and HKSE in an internal investigation of fraud.

-Represent the audit committee of an entertainment company listed in the U.S. in an internal investigation.

Compliance Program and Advisory:

-Participate in Siemens FCPA monitorship to help the client establish sophisticated compliance program with golden standard.

-Represent SOEs, domestic and foreign companies in a wide range of industries to establish effective and efficient compliance programs, including among others anticorruption, data, sanctions and export controls, government dawn raid plans, and thirdparty management systems.

-Assist SOEs and private Chinese companies in a wide range of industries (e.g., construction and real estate, ports, shipping, semiconductor, finance and technology), in reviewing oversea compliance risks, and establishing compliance programs.

-Advise multinational companies in a wide spectrum of industries on crossborder data transfer, state secrets and data privacy issues.