Derbes, Elizabeth K.

Languages

• German

Lawyer Overview

Elizabeth Derbes is a partner in the firm's Securities Department, and a member of the Broker-Dealer Compliance and Regulation and Derivatives and Futures Practice Groups. She joined the firm in 1999.

Practice

Ms. Derbes advises broker-dealers, alternative trading systems, hedge funds, and other financial services industry clients on securities regulatory issues, with an emphasis on broker-dealer matters and compliance with SEC and FINRA rules. She has extensive experience with trading and sales practice regulation, cross-border issues, broker-dealer formation and registration, and supervisory and compliance systems and procedures. She also represents broker-dealers and other clients in SEC and SRO investigations and enforcement matters.

Professional Activities

Ms. Derbes is a member of the board of directors of the Elevator Repair Service theatre ensemble, a Senior Adviser to Opening Act, Inc. and a former board member of the Afro-Latin Jazz Alliance, Inc.

Honors and Awards

• Ms. Derbes' article entitled "Treasury Department's Proposed Overhaul of the Financial Regulatory Structure: A Look at the Blueprint and a Look Ahead," published in the Journal of Investment Compliance was chosen as a "Highly Commended Award Winner" at the Emerald Literati Network's 2009 Awards for Excellence.

Areas of Practice

• Securities
• Broker-Dealer Compliance and Regulation
• Derivatives and Futures

West Practice Categories

Securities Law, Securities Regulation

Bar Admissions

• New York
• District of Columbia

Education

• University of Chicago Law School, 1998
  JD
  Honors: with honors
• Harvard University, 1992
  BA
  Honors: with high honors

Published Works

• Basel III Capital Standards Are Announced, 2010
• Dodd-Frank Title VIII: The Devil is in the Details, 2010
• Treasury Proposes Registration of Fund Advisers; SEC Testifies in Support, 2009
• Proposed Consumer Financial Protection Agency Would Cloud SEC Enforcement, 2009
• President Obama's Regulatory Reform Proposal—Major Overhaul or Missed Opportunity?, 2009
• Regulating OTC Derivatives: How Hard Would It Be To Undo the CFMA?, 2009
• EU Proposal on Regulation of Alternative Investment Fund Management, 2009
• Short Sales and Investor Confidence, 2009
• A Regulatory Policy Dilemma: Short Sale Restrictions and Investor Confidence, 2009
• SEC Seeks Comment on Various Short Sale Restrictions, 2009
• Securities Mosaic: SEC Approves Joint Venture of CME and Citadel to Act as a Central Counterparty for Credit Default Swaps, 2009
• SEC Approves Joint Venture of CME and Citadel to Act as a Central Counterparty for Credit Default Swaps, 2009
• Towards a Consolidated Rulebook: FINRA's Proposals Achieve Harmonization, but Raise Questions, 2008
• Treasury Department’s Proposed Overhaul of the Financial Regulatory Structure: A Look at the Blueprint and a Look Ahead, 2008

Address

399 Park Avenue
New York, NY 10022

Phones

+1 212 295 6430 (Business Phone)

Faxes

+1 212 230 8888 (Business Fax)

Emails

Contact Us (Business Email)

Websites

http://www.wilmerhale.com