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University of Queensland, Australia (L.L.B., 2003), Honours (Class IIA)
University of Queensland, Australia (Ph.D., 2002), Nominated for Dean’s List, Nominated for Young Alumnus of the Year Award 2012, University of Queensland
The New South Wales College of Law (Graduate Diploma in Law, 2005)
University of Queensland, Australia (B.A., 1997), Honours Class I

New South Wales

Carl Hinze

Senior Attorney

Shanghai

P: (86-21) 6135-6139

F: (86-21) 6288-3222

Carl Hinze is a Senior Attorney in Dorsey’s Shanghai office. Carl has worked in the fields of investment banking and law in China since 2004.

Carl has advised clients on a wide range of matters, including merger and acquisitions, corporate restructuring commercial law, employment law, crisis management, dispute resolution and financial services regulatory issues. He is a co-editor of Oxford University Press’ Financial Services Regulation in Asia Pacific.

Prior to becoming a legal practitioner, Carl lectured at the University of Queensland in the School of Languages and Cross-cultural Studies. Carl is a recognised expert in the field of Chinese sociolinguistics and politeness research. He has published numerous articles on cross-cultural communication and Chinese politeness research in internationally-renowned journals and monographs.

Representative Litigation

Participating in several financial dispute resolution matters in Hong Kong, including preparing for a number of arbitration and litigation proceedings

Representative Transactions

Corporate

Matter managing and advising on the establishment, operation and liquidation of foreign-invested enterprises, and mergers and acquisitions of China-based enterprises, including the establishment of a Sino-foreign joint venture by a leading US specialty chemicals company, the establishment of a Sino-foreign joint venture and asset acquisition by the world’s largest chain manufacturer, and a China cross-jurisdictional merger by a leading Indian IT consulting company
Project managing and advising on an investment in Mongolia by the world’s leading coal company
Advising foreign companies on Chinese employment law to the extent that its impacts upon their China operations. This work has included commenting on the legal situation affecting employment contracts, employee handbooks and confidentiality agreements, the establishment of trade unions, the carrying out of redundancies, and the handling of labour disputes and trade secrets infringements. Due to regulatory restrictions, these matters have usually involved working together with local Chinese law firms to assist the client
Advising offshore listed companies on the regulatory situation in China in respect of share incentive schemes
Advising a leading Chinese state-owned steel maker on one of the largest CDM projects of 2007 with comprehensive payment structures and agency arrangements, the estimated emission reduction up to 2012 is around 28 million tonnes
Advising a Spanish wind manufacturer and developer on various structures of shareholding and financing in China, including RMB fund structures, so that its projects can be qualified as CDM projects and sell CERs
Advising a US clean-tech company on equity investments in hydro power plants in Sichuan and Hubei
Advising a global beverage company on a share swap involving the exchange of shares and of debt in 10 enterprises in China held through offshore vehicles
Advising Fortune 500 companies on the restructuring of their Chinese holding companies into regional headquarters
Advising a European company on the negotiation and execution of a US$2 billion contract for the construction for it by a Chinese entity of various floating cranes and oil rigs

Financial Services Regulatory
PRC

Advising leading global financial institutions on alternatives for establishing a legal presence in China, including analyses of key issues relating to setting up wholly-owned foreign consulting companies and representative offices
Advising leading international financial institutions on the legal and regulatory requirements underlying the establishment of a wholly-owned foreign companies engaging in general consulting business in China
Advising leading global financial institutions on the establishment of CBRC- and CSRC-regulated representative offices in China, including advising on establishment procedures and application documentation as well as office space, employment and business scope issues
Advising multi-national commercial banks and investment banks on legal and regulatory issues arising out of the provision of advisory services in China on a “fly in, fly out” basis
Advising multi-national commercial banks on the establishment of Chinese branches as well as China and Shanghai-specific holding companies with regional headquarters status
Advising leading global financial institutions on issues relating to the marketing of foreign securities in China
Advising leading global financial institutions on issues relating to the Qualified Domestic Institutional Investor (“QDII”) regime, including advising on how the QDII rules apply to banks and fund managers, and explaining how the QDII regime is reconciled with the rules governing the marketing of offshore securities in China
Advising major international investment banks and fund houses on their Qualified Foreign Institutional Investor (“QFII”) applications

Hong Kong

Advising a leading global hedge fund on the establishment of a Hong Kong-incorporated subsidiary and an application to the SFC for a licence to conduct Type 9 (asset management) regulated activity, including advising on establishment procedures and application documentation as well as office space, employment and business scope issues
Advising an international private equity fund on the regulatory environmental in Hong Kong relating to dealing in securities and advising on securities
Preparing a multi-jurisdictional survey for a leading global commercial bank on regulations affecting real estate lending and financing activities
Preparing a multi-jurisdictional survey for a leading global commercial bank on “single presence” restrictions affecting the ability of an investor to acquire a stake in more than one regulated financial institution
Preparing a multi-jurisdictional survey for a leading global commercial bank on regulatory requirements relating to compliance with Basel II

London

Assisting with documenting and advising on the establishment of a limited partnership by a large US-based private equity group, for real estate investment purposes

Banking

Advising a US-based bank on the potential establishment of a banking subsidiary in China
Advising a leading UK bank on the PRC aspects of a multi-jurisdictional US$130 million syndicated loan and the taking of several forms of security in the PRC
Assisting with documenting and advising on a wide range of transactions and products, including limited recourse financing, secured lending, and derivatives

Presentations

Carl has presented numerous papers to a wide range of audiences on a wide range of topics, including opportunities and challenges facing foreign fund managers in China, China’s anti-money laundering regime, China’s employment law regime, and doing deals in China.

Civic & Community Activities

Carl is actively involved in Dorsey’s community activities in Shanghai, including regular participation in the activities of the “Golden Key” association of Jing’an District

Carl Hinze

Representative Litigation

Representative Transactions

Presentations

Civic & Community Activities

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