Ranked in 1 Practice Areas
S

Senior Statespeople

About

Provided by Yoon-Young Lee

USA

Practice Areas

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

Professional Memberships

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.

Personal

JD, cum laude, Harvard Law School, 1988; BA, Johns Hopkins University, 1985.

Chambers Review

Provided by Chambers

Chambers Guide to the USA

Financial Services Regulation: Broker Dealer (Compliance) - USA - Nationwide

S
Senior Statespeople
Individual Editorial
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.

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