Yoon-Young Lee

Yoon-Young Lee's practice has particular emphasis on broker-dealer regulation and securities compliance policies and procedures. 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.

To learn more about Ms. Lee, please visit: https://www.wilmerhale.com/en/people/yoon-young-lee

Ms. Lee serves on the Board of Directors for the Asian Americans Advancing Justice | AAJC. She is also a member of the National Asian Pacific American Bar Association, the Women’s Bar Association and the DC Bar Association.