BIOGRAPHICAL RESUME

DAVID C BUXBAUM

David C Buxbaum, born 16 July 1933 in New York. Mr Buxbaum left academic life where he taught law, including Chinese law, to join the law firm of Anderson, Mori and Rabinowitz as a junior partner in 1968. There he worked primarily on joint ventures for American companies in Japan and on Hong Kong legal matters. In 1970, Mr Buxbaum formed a predecessor of the firm, Anderson & Anderson LLP’s international division, and has been primarily resident in Asia for the past thirty-three years, and in China and Mongolia for most of the past thirty-four years.

Mr Buxbaum is fluent in both oral and written Chinese. He was the first American lawyer invited to China to represent American business interests in 1972, after President Nixon’s historic visit. He founded the first American law office in Guangzhou (Canton). Subsequently, he helped open offices in Hong Kong, Beijing, Shanghai, Xiamen, Shenzhen, Chongqing, Chengdu and Mongolia and closely affiliated offices in Bombay, India, Taiwan. Mr Buxbaum is a well regarded expert on private international and Chinese law who, in addition to being an experienced and highly respected practitioner, has also published extensively in the field. He has always been the primary author and reviser of the China Law Digest and the Mongolia Law Digest for the Martindale-Hubbell directory.

In addition to international transactional matters, Mr Buxbaum, is also professionally active in litigation, particularly regarding international business disputes, as well as intellectual property and commodities and securities matters. He represented the successful respondents before the United States Supreme Court in the landmark case of Butz v Economou and successfully handled one of the leading IP cases in China, namely Microsoft vs Juren.

Practice in Asia

Mr Buxbaum’s work in Asia covered previously of the following

(a) Contract negotiation and drafting of joint ventures, wholly-owned subsidiaries, licensing agreements, investment contracts, financing agreements and the like in Asia for clients in various industries;

(b) Litigation and Arbitration. Representing international companies in Asia in litigation, arbitration and mediation of commercial disputes;

(c) Banking, investment work and standardized documents for banking and commercial clients;

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(d) Protection and Enforcement of Copyright, Trademark, Patent and Trade Secret rights in Asia, anti-dumping and Section 337 actions;

(e) Labour contracts, negotiations, dispute resolution, employee incentive plans, options, internal labour rules;

(f) Commodities and Securities Work;

(g) Administrative Applications and proceedings in various field, including taxes and/other matters;

(h) Leasing of Aircraft and Heavy Equipment

Academic Background

1954 BA New York University

1959 JD University of MichiganConcurrent Graduate Studies, University of Michigan Graduate School

1962 Fellow, Harvard University (Law and East Asian Studies)

1963 MA University of Washington

1968 PhD University of Washington

Academic Work

Assistant Lecturer, Chinese Law, Domestic Relations, Labor Law, Jurisprudence, Comparative Law, University of Singapore, 1963-64

Associate Professor, Chinese Law, Comparative Law and Domestic Relations, University of Washington, 1968

Adjunct Professor of Law, Touro Law School, 1980

Adjunct Professor of Law, Southwestern University School of Law, 1983-88 (In Asia)

Admitted to Bar

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1970 State of New York

1970 US District Court for the Southern District of New York

1970 US District Court for the Eastern District of New York

1970 US District Court for the Northern District of New York

1970 US District Court for the Western District of New York

1971 US Court of Appeal, 2nd Circuit

1974 US Supreme Court

1975 US Court of Appeals, 7th Circuit

1975 US Court of Appeals, 4th Circuit

1978 US Court of Appeals, 8th Circuit

1979 US Court of Appeals, 1st Circuit

1981 State of California

1989 US District Court for the Central District of California

1991 US Court of Appeals, 9th Circuit

1991 US District Court for the Northern District of California

1994 Hong Kong, as Registered Foreign Lawyer

Member

Commission on Labor Law, 1963-64, Singapore

Panel of Arbitrators, American Arbitration Association

New York Trial Lawyers Association (Member, Liaison Committee with Judicial Conference, 1971-78)

Association of Asian Studies (to date)

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American Bar Association (Member, Committee on Far Eastern Honor Society, Section of International and Comparative Law, 1965-71); present member

Author

Jan 62 “Preliminary Trends in the Development of the Legal Institutions of Communist China and the Nature of the Criminal Law”, International and Comparative Law Quarterly, reprinted in Government of Communist China, Chandler, San Francisco in 1966

1962 MA Dissertation: “Legal Institutions of Contemporary Mainland China and the Nature of the Criminal Law, University of Washington

1963 “Case Note “Freedom of Marriage in a Pluralistic Society”, Malaya Law Review

1967 Editor: Traditional and Modern Legal Institutions in Asia and Africa, Journal of Asian and African Studies, Supplement Edition

1968 Some Aspects of Substantive Family Law and Social Change in Rural China, 1896/1967, University of Washington PhD Dissertation

1968 Editor: Family Law and Customary Law in Asia; A Contemporary Legal Perspective (University of Washington Press)

1971 Editor: Transition and Permeance; Chinese History and Culture, A Festschrift in Honor of Dr Kung-Chan Hsiao, (University of Washington Press)

1971 “Some Aspects of Civil Procedure and Practice at the Trial Level in Tanshui and Hsinchu …” XXX, Journal of Asian Studies

1973 Negotiations with the Chinese, Trade with China

1973 American Trade with the People’s Republic of China; Same Preliminary Perspectives, Columbia Journal of Transnational Law, Vol 12, No 1

Feb 74 Two Cases of Dispute Settlement, Arbitration and Dispute Settlement in Trade with China, Special Report No 4 for Members of the National Council for United States China Trade

Mar/Apr 74 Two Cases of Dispute Settlement, US-China Business Review, Vol 1

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No 2

1975 “Horizontal and Vertical Influences upon the Substantive Criminal Law of Mainland Chinese, some Preliminary Observations”, Osteuropa Recht, No 1

1978 Editor: Law and Social Change: A Case Study of Family Law and Social Change in China and Other Developing Areas, University of Washington Press

Apr 78 Jurisdiction over Foreign Transactions and Foreign Nationals, New York Law Journal

Jun 78 Commodities Transactions in China and Hong Kong, New York Law Journal

Oct 78 Regulation of Commodity Futures Exchanges in Japan, New York Law Journal

Dec 78 Commodities Trade with China, New York Law Journal

1979 Liability of Federal Officials in Damage for Acts Unconstitutional or in Excess of their Authority: Expanding the Concept of the Rule of Law, Capital University Law Review, Vol 8, Issue 4

Feb 79 Lawyer’s Challenge in China Trade: New and Developing Legal System, New York Law Journal, International Law, Finance and Trade

Mar 79 Disclosure of Management Remuneration, Transaction, Litigation and Employment History, Los Angeles Daily Journal

1982-1998The Commercial Laws of China, and Patents Law and Practice, Trademark Law and Practice, The People’s Republic of China, Digest of the Commercial Laws of the World 1982-1998

1976-1982 Monthly Columnist, New York Law Journal on Commodities Law 1976-1982

1990 Contract Law in China, The Dynamics of Statutory Development and Practice, Doing Business in China (Matthew Bender)

Jan 92 Contract Law in China, The Dynamics of Statutory Development and

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Practice, Doing Business in China, Matthew Bender, Release No 1

1993 Contracts in China during the Qing Dynasty; Key to the Civil Law XXXI No 2, Journal of Oriental Studies, University of Hong Kong

Nov 94 Recent Developments in IP Protection, The New Gazette (Hong Kong)

Dec 94 Enforcing IP Rights in China, The New Gazette (Hong Kong)

1995 China, The Asian Investment Law Directory , Asia Law & Practice

1995 Judge’s Law Enhances IP Enforcement, The New Gazette (Hong Kong)

Jan 95 Articles: IP Enforcement and Education, The New Gazette (Hong Kong)

Feb 95 A Program for IP Rights Enforcement, The New Gazette (Hong Kong)

Mar 95 Scope of Trademark Protection Extended, The New Gazette (Hong Kong)

Apr 95 Action Plan to Avert Trade War, The New Gazette (Hong Kong)

May 95 Judge’s Law Enhances IP Enforcement, The New Gazette (Hong Kong)

Jun 95 Enforcement of Sino-US IP Agreement, The New Gazette (Hong Kong)

Jul 95 Recent IP Cases in China, The New Gazette (Hong Kong)

Aug 95 Functioning Task Forces, The New Gazette (Hong Kong)

Sep 95 Protection of Famous Products and Famous Brands, The New Gazette (Hong Kong)

Oct 95 The Status of IP in China, The New Gazette (Hong Kong)

Nov 95 Leading Copyright Cases in Beijing, The New Gazette (Hong Kong)

Dec 95 Patent Protection in China Enforcement Problems, The New Gazette

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(Hong Kong)

1995 Enforcement of IP Rights: Courts and Administrative Organizations; Intellectual Property Protection in China, Asia Law & Practice

Jan 96 TRIPS Agreement and Chinese Trade Law, The New Gazette (Hong Kong)

Feb 96 Protection of Commercial Secrets in China, The New Gazette (Hong Kong)

Mar 96 Examination of Trademark Applications, The New Gazette (Hong Kong)

Apr 96 US and China Cooperating to Protect IP Rights, The New Gazette (Hong Kong)

May 96 Hong Kong & Taiwan IP Protection Policy, The New Gazette (Hong Kong)

Jun 96 中國合同法制史與羅馬法、同一法、猶太法之比較研究，中國法律的傳統與現代化──93中國法律史國際研討會論文集

Jun/Jul 96 Landmark Intellectual Property Decision, The New Gazette (Hong Kong)

Oct 96 Do We Meet the Mark?, Hong Kong Lawyer

Nov 96 Protecting IP Post 97, Hong Kong Lawyer

Dec 96 Extending Protection, Hong Kong Lawyer

Jan 97 Unfair Competition, Hong Kong Lawyer

Feb 97 Some Way to Go, Hong Kong Lawyer

Mar 97 International Protection, Hong Kong Lawyer

Apr 97 Draft Trademarks Bill Widens Scope of Protection, Hong Kong Lawyer

Jun 97 Designs Bill Circulated, Hong Kong Lawyer

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Jul 97 Combating Counterfeiting, Hong Kong Lawyer

Sep 97 Patents Reform Complete, Hong Kong Lawyer

Nov 97 Patently Inconsistent, Hong Kong Lawyer

Dec 97 Copyright Laws Now Consolidated, Hong Kong Lawyer

Feb 98 Halting the Dilution, Hong Kong Lawyer

Jun 98 Debt or Equity? Financing Options for PRC Investors, China Direct Investor

Jul 98 Pillers of Justice, Hong Kong Lawyer

1999 Securities Regulations in China; China International Securities Regulations: Pacific Rim

Jan 99 Restrictive Covenants Revisited, Hong Kong Lawyer

Mar 99 Choice of Law in Licensing and Other Agreements, Hong Kong Lawyer

1999 Foreign Investment in China: Law and Policy; The Comparative Law Yearbook of International Business, Volume 21, (Kluwer Law International)

1980-00 People’s Republic of China Law Digest, Martidale-Hubbell Law Digest

1996-00 Mongolia Law Digest, Martidale-Hubbell Law Digest

Apr 99 China Securities Laws (with Jian Fu co author), ISR, International Securities Regulations: Pacific Rim, Oceana Publications, Inc.

Jun 00 依法治國及法官的選拔、任用與完善，經濟與法律Nov 05 Contract Law in China and Israel: A Comparative Perspective, Collected

Works from International Academic Symposium on Chinese and Israeli Legal Culture, Publishing House of China Zhengfa University

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Leading Cases

Client Name of Action

Economou Butz vs Economou, 438 U.S. 478, (1978)

Harcourt Brace Harcourt Brace vs An Hui Press (in China) 1996

MacMillian MacMillian vs An Hui Press (in China) 1996

Microsoft Microsoft Software vs Haidian Hui Ruan Computer (in China); Zhong jing zhi chu zi No.586, 1994

Microsoft Software vs Beijing Juren Computer (in China) Zhong jing zhi chu zi No. 587, 1994

Microsoft Software vs Beijing Gao Li Computer (in China); Zhong jing zhi chu zi No. 591, 1994

Microsoft Software vs Haidian Hui Li Books (in China); Zhong jing zhi chu zi No.592, 1994

Microsoft Software vs Beijing San Hua Electronic (in China); Zhong jing zhi chu zi No 594, 1994

Autodesk Autodesk vs Beijing San Hua Electronic (in China); Zhong jing zhi chu zi No. 588, 1994

Autodesk vs Beijing Juren Computer (in China); Zhong jing zhi chu zi No. 589, 1994

Autodesk vs Haidian Hui Li Computer (in China); Zhong jing zhi chu zi No. 590, 1994

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Autodesk vs Beijing Gao Li Computer (in China); Zhong jing zhi chu zi No.593, 1994

Lotus Lotus vs Beijing Gao Li Computer (in China); Zhong jing zhi chu zi No. 652, 1994

Lotus vs Haidian Zhuan Li Books (in China); Zhong jing zhi chu zi No. 653, 1994Lotus vs Haidian Hui Ruan Computer (in China); Zhong jing zhi chu zi No. 654, 1994

Novell Novell vs Beijing Gao Li Computer (in China); Zhong jing zhi chu zi No. 951, 1994

Novell vs Ke Tong Computer (in China); Zhong jing zhi chu zi No. 952, 1994

Novell vs Haidian Hui Ruan Computer (in China); Zhong jing zhi chu zi No. 964, 1994

WordPerfect WordPerfect vs Beijing Juren Computer (in China); Zhong jing zhi chu zi No.769, 1994

WordPerfect vs Beijing Gao Li Computer (in China); Zhong jing zhi chu zi No. 770, 1994

WordPerfect vs Haidian Hui Ruan Computer (in China); Zhong jing zhi chu zi No. 771, 1994

Citibank Tianjin Corporation vs Citibank (Guangzhou) Branch (in China), Guangzhou fashi zi No 36, 1993

Citibank (Shanghai) Branch vs Wafangdian Ballbearing Company,

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(Liaoning, China); Da min chu zi di 23 hao, 1998

Kellogg’s Kellogg’s vs Kongalu (in China), Mui Mid Court Financial Initial Word No. 39, 1994

Marubeni Corporation Marubeni vs Hainan Yunhai International Fuel Gas Development Company Ltd (in China), partial award, 1999

Procter & Gamble Procter & Gamble vs Lu Chaowen, et al , 1993 (criminal case)

General Motors Xian Antai pharmaceuticals Corporation vs General Motors, 1995 Xiyao Zi No. 186

Daewoo Daewoo vs Fushan AIC, 1995

Whirlpool Home Appliance Whirlpool vs Zhongshan Jia Xin (in China) Zhong zhong ji chu zi No.41, 1998

Transactional Work (Examples)

First insurance joint venture in China; Aircraft and equipment leases;Loan and security agreements;Legal opinions for establishing joint venture, wholly-owned corporations and processing ventures, diamonds, hotels, food processing, garments, chemicals, energy, pharmaceuticals, fast foods, automotive, etc;Fund Management Agreements;Public offerings of Chinese Corporations, due diligence;Transportation ventures;Investment banking contracts;Labor contracts, arbitration, stock option plans, union matters, corporation personnel rules, incentive programs, housing programs;Real estate matters including leases, land transactions, multi-story building transactions, litigation, due diligence; Banking work, due diligence, legal opinions, financial agreements; Fundamental contract; and

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Consultation law work.

Former and Present Clients (selected list of clients)

Microsoft, Citibank, Credit Lyonnais, MacMillian, General Motors, Whirlpool, Kellogg’s, Campbell Soup, Procter & Gamble, Marubeni, Nissho Iwai, World Bank, IFC, AC Nielsen, ABM Armo, Manual Life Insurance Corp, McDonalds, Nationwide Insurance Company, AIG, Samsonite, Wrigley,etc.

Current Pro-Bono Projects

Rule of Law in China, and Mongolia, other parts of Asia: organizing the private sector throughout Asia to work with governments, particularly in China and Mongolia on establishment of an effective rule of law in these countries, head of the Rule of Law Forum.

Legal assistance to rural residents in Asia: providing free legal services to poor rural residents.

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