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Yoon-Young Lee is a partner in the firm's Securities Department, the chair of the Broker-Dealer Compliance and Regulation Practice Group and a member of the Derivatives and Futures Practice Group. She joined the firm in 1988. Ms. Lee's practice has particular emphasis on broker-dealer regulation and securities compliance policies and procedures. She is also a member of the firm's Management Committee.
Practice
Ms. Lee advises and represents broker-dealers and other financial institutions on various regulatory and compliance matters. She has worked with clients to devise and implement comprehensive policies and procedures to prevent the misuse of confidential information, to avoid conflicts of interests and to achieve compliance with federal securities laws and SRO regulations. She has extensive experience with compliance reviews and audits as well as internal investigations. Her practice includes providing advice regarding information barriers, research analyst independence, insider trading, sales practices, capital markets trading issues, electronic communications, supervision and surveillance measures.
Professional Activities
Ms. Lee speaks frequently at seminars sponsored by the Securities Industry and Financial Markets Association, on topics relating to securities laws and broker-dealer regulations. She is also a member of the National Asian Pacific American Bar Association, the Women’s Bar Association and the DC Bar Association.
Honors and Awards
- Selected by her peers for inclusion in the 2011 and 2010 editions of The Best Lawyers in America in the area of corporate law
- Recognized as a national leader in financial services regulation: broker dealer regulation in the 2011, 2010, 2009 and 2008 editions of Chambers USA: America's Leading Lawyers for Business
- Selected by Washingtonian magazine as one of the top lawyers in Washington DC in the area of securities law, 2011
- Selected as a leading Rainmaker in the November/December 2008 issue of Diversity & the Bar magazine, a publication of the Minority Corporate Counsel Association.
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Chair, Broker-Dealer Compliance and Regulation Practice Group; Co-Chair, Diversity Committee
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Securities
Broker-Dealer Compliance and Regulation
Derivatives and Futures
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District of Columbia
Virginia
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Harvard Law School,
1988
JD
Honors: cum laudeJohns Hopkins University,
1985
BA |
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| SEC Reaffirms the Broad Reach of Rule 10b-5 to Private Companies, 2011
Regulators Propose Volcker Rule: Sweeping Changes Ahead, 2011
The Commodity Futures Trading Commission Issues Sweeping New Rules to Prohibit Fraud and Manipulation in the Swaps, Cash, and Futures Markets, 2011
New FINRA Books and Records Rules, 2011
SEC Approves Sweeping Changes to FINRA's Regulatory Reporting Rules, 2010
Are We Almost There Yet? Financial Reform Makes it to Conference, 2010
FinCEN Clarifies Anti-Money Laundering Beneficial Ownership Rules, 2010
Brave New World for OTC Derivatives: Treasury Proposes Major Overhaul, 2009
President Obama's Regulatory Reform Proposal—Major Overhaul or Missed Opportunity?, 2009
Law 360: The Wdening Reach Of Securities Regulators, 2009, 2009
U.S. Securities Regulators Extend Reach Over Non-Securities Activities of Broker-Dealers, 2009
The Consolidated FINRA Rulebook: Current Status, December 15 Rollout, and Year-End Surprises, 2008
Market Crisis--New Draft Legislation, 2008
Reacting to the Market Crisis, 2008
New York State and the SEC call for Urgent Regulation of Credit Default Swaps, 2008
FACT Act "Red Flag" Rules, 2008
Almost Two Decades Later: SEC Proposes Changes to Rule 15a-6, Taking Bold Steps to Liberalize Cross Border Regulation, 2008
Towards a Consolidated Rulebook: FINRA's Proposals Achieve Harmonization, but Raise Questions, 2008
SROs Propose Joint Guidance Regarding the Supervision of Electronic Communications, 2007
NASD Amends Rule 2211, Imposing New Pre-approval Requirements on Communications with Non-institutional Customers, 2006
Data Security Update, 2006
Restrictions and Obligations of Broker-Dealers Engaged in Proprietary Trading, 2006
Research Analyst Independence: New Rules and Developments, 2004
Research Analyst Independence: Efforts to Eliminate Conflicts Lead to Conflicting Requirements, 2003
Will Multiple Regulators Spawn an Inconsistent Framework for Research Analyst Regulation?, 2002
The SEC’s Privacy Rule, 2000
The SEC's Privacy Rule, 2000
SEC Enforcement in the 1990's, 1999
SEC Enforcement in the 1990’s, 1990
An Overview of Compliance Policies and Procedures for Multiservice Financial Institutions, 1989
An Overview of Compliance Policies and Procedures for Multiservice Financial Institutions, 1989 |
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Securities Law, Securities Regulation
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