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 Futures and Derivatives 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.
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.
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.