Email address
[email protected]Contact number
202-663-6720Share profile
Band 1
Provided by 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.
JD, cum laude, Harvard Law School, 1988; BA, Johns Hopkins University, 1985.
Provided by Chambers
Yoon-Young Lee demonstrates an impeccable grasp of the regulatory climate faced by broker-dealers and associated market participants. Examples of her work include acting as regulatory counsel to SIFMA and representing clients before the SEC in matters of policy compliance.
Provided by Chambers
"She is very reliable and incredibly thoughtful."
"She is really phenomenal."
"She is very reliable and incredibly thoughtful."
"She is really phenomenal."
