Mark Y. Liu
Senior Legal Counsel
Iowa College of Law
He advises companies in a variety of corporate transactions, including initial public offerings on the NYSE, Nasdaq and Stock Exchange of Hong Kong, cross-border M&A and private placement offerings of debt and equity securities.
He also advises public and private companies in developing and implementing corporate governance and compliance programs, and reviews effectiveness of internal controls and procedures and company policies.
Group Legal Counsel
Mar 2013 - Present
Advise Board of Directors on legal and business issues related to company reorganization, internal controls,and corporate governance.
Advise Group companies on strategic acquisitions, cross-border joint ventures, securitizations,and equity raises.
Supervise legal restructuring of subsidiaries.
Draft company policies for related party transactions, corporate communications, risk management and disclosure price sensitive information.
Manage litigation in North America region.
Manage local counsel with respect to issuance of legal opinions in 40+ jurisdictions worldwide.
Registered Foreign Lawyer
May 2011 - Mar 2013
Drafted IPO prospectus for issuers listing on the Main Board of the Stock Exchange of Hong Kong and international offiering of shares pursuant to Rule 144A or Regulation S.
Drafted and negotiated international underwriting agreements and U.S. legal opinions in connection with IPOs.
Drafted U.S. SEC filings for foreign private issuers listed on NYSE and Nasdaq.
Negotiated cross-border private equity transactions and advised on litigation and Hong Kong arbitration matters relating to foreign investments in U.S.-listed companies.
Aug 2005 - May 2011
Advised public companies in IPO, secondary offerings, exchange offers, shelf registrations and takedowns, and M&A.
Advised companies on their corporate governance obligations under state law and NYSE and Nasdaq rules and prepared annual, quarterly and current reports for filing with SEC.
Advised start-up and emerging growth companies in equity financing, private placements and private equity investments.
U.S. Securities and Exchange Commission
Aug 2004 - Dec 2004
Assisted in investigations of insider trading, financial fraud, market manipulation and fair disclosure cases.
Assisted in taking of testimony and interview of informants in preparation of Wells Submission and Action Memoranda.
Warner Bros. Entertainment Inc.
Jul 2004 - Aug 2004
Drafted composer agreements, certificates of authorship, music supervisor agreements and usage licenses in connection with company motion picture and television series scores and soundtracks.
Drafted memoranda summarizing rights and obligations of talent with respect to the company's usage of their name and likeness in marketing and publicity of company motion pictures.
May 2004 - Jul 2004
Drafted vehicle recall protocol in conformity with Chinese laws and regulations and GM policies.
Participated in GM Asia conference relating to intellectual property protection in China and assisted in presentation to GM senior management.
Jul 2000 - Aug 2002
Assisted in IPO, convertible bond, preferred stock, senior note, exchange offer and other corporate transactions, from deal inception to post closing.
Responsible for generating initial drafts of agreements, facilitating SEC filings and preparing closing checklists.
Aug 1999 - May 2000
May 1999 - Aug 1999
Jan 1998 - Jan 1999