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美SEC向个人投资者提出对投资在美上市VIE架构中概股的风险警示

美SEC向个人投资者提出对投资在美上市VIE架构中概股的风险警示

美国证监会SEC于3021年9月21日在其官方网站的投资者警示及公告专栏里面,向个人投资者提出对投资在美上市VIE架构中概股的三个维度风险警示:

1. The Chinese government has never approved these structures.

The Chinese government thus could determine at any time and without notice that the underlying contractual arrangements on which control of the VIE is based violate Chinese law.


2. A breach of the contractual agreements between the U.S.-listed company and the China-based VIE (or its officers, directors, or Chinese equity owners) will likely be subject to Chinese law and jurisdiction.

3. Investments in the U.S.-listed company may be affected by conflicts of interest and duties between the legal owners of the China-based VIE and the stockholders of the U.S.-listed company.

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Harvey Yan

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