People

Yoon-Young Lee

Partner

Chair, Broker-Dealer Compliance and Regulation Practice Group

Lee, Yoon-Young
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.

Practice

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. 

Honors & Awards

  • Selected by her peers for inclusion in the 2010-2018 editions of the Best Lawyers in America in the area of corporate law
  • Recognized as a national leader in financial services regulation: broker dealer regulation in the 2008-2017 editions of Chambers USA: America's Leading Lawyers for Business
  • Selected by Washingtonian magazine as one of the top lawyers in Washington DC in the area of securities law 2011 and 2013 
  • Selected as a leading Rainmaker in the November/December 2008 issue of Diversity & the Bar magazine, a publication of the Minority Corporate Counsel Association.
  • Named to the Washington Business Journal's 2014 "Minority Business Leaders" list, recognizing the entrepreneurial drive, creativity and success of the Greater Washington region's top minority business owners and leaders.
  • Selected as one of Lawdragon Magazine's "500 Leading Lawyers in America" in 2012 and 2013

Publications & News

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November 29, 2017

US Department of the Treasury: A Financial System That Creates Economic Opportunities—Capital Markets

In October 2017, the US Department of the Treasury (Treasury) published a report titled “A Financial System That Creates Economic Opportunities” (Treasury Report). Treasury, under the direction of Secretary Steven T. Mnuchin, prepared the Treasury Report in response to Executive Order 13772 (Executive Order). The Executive Order established a set of Core Principles consistent with which the financial markets should be regulated.

August 16, 2017

WilmerHale Lawyers Named Among the 2018 Best Lawyers in America®, Nine Recognized as Lawyers of the Year

Best Lawyers in America®—the oldest and most respected peer-review publication in the legal industry—recognizes 107 WilmerHale lawyers and names nine partners as Lawyers of the Year in its 24th edition.

May 26, 2017

WilmerHale Lawyers and Practices Recognized in 2017 Edition of Chambers USA

Chambers and Partners announced its rankings for the 2017 edition of Chambers USA: America's Leading Lawyers for Business, with WilmerHale listed among the nation's best in 50 practice area categories. Chambers also ranked 86 WilmerHale lawyers as leaders in their respective fields.

August 15, 2016

WilmerHale Lawyers Named Among the 2017 Best Lawyers in America®, Six Recognized as Lawyers of the Year

Best Lawyers in America®—a respected peer-review publication in the legal industry—recognizes 101 WilmerHale lawyers and names six partners as Lawyers of the Year in its 23rd edition.

May 27, 2016

WilmerHale Lawyers and Practices Recognized in 2016 Edition of Chambers USA

Chambers USA: America's Leading Lawyers for Business announced its final rankings for the 2016 edition, with WilmerHale ranking among the nation's best in 47 practice area categories. Chambers also ranked 82 WilmerHale lawyers as leaders in their respective fields.

March 24, 2016

2016 IPO Report

Our 2016 IPO Report offers a detailed analysis of, and outlook for, the IPO market, plus useful IPO market metrics. We look at rates of adoption of JOBS Act relief by emerging growth companies, recent FAST Act amendments that further streamline the IPO process and much more.

September 18, 2015

SEC Issues Cybersecurity Examination Risk Alert

On September 15, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert re-emphasizing the careful scrutiny it will give to the data security practices of broker-dealers and investment advisers and describing areas of particular interest.

July 27, 2015

A Bold New Regulatory Landscape for Research: SEC Approves FINRA Rules Addressing Conflicts of Interest for Equity and Debt Research

More than ten years after the Global Research Settlement and the adoption of NASD Rule 2711, the Securities and Exchange Commission has approved new FINRA rules addressing conflicts of interest for both equity and debt research analysts and research reports.

May 19, 2015

WilmerHale Practices, Lawyers Ranked Among Nation’s Best by Chambers USA

Chambers USA: America's Leading Lawyers for Business announced its final rankings for the 2015 edition, with WilmerHale ranking among the nation's best in 46 practice area categories. Chambers also ranked 86 WilmerHale attorneys as leaders in their respective fields.

April 1, 2015

The SEC and FINRA Increase Scrutiny of Regulated Firms’ Cybersecurity

An article by Jonathan Cedarbaum, Yoon-Young Lee, Matthew Chambers and Benjamin Powell, published in April 2015 edition of The Investment Lawyer, Vol. 22, Number 4, pages 26–28.

Speaking Engagements

March 18-21, 2018

SIFMA Compliance and Legal Society Annual Seminar

Orlando, Florida

November 2-5, 2017

The 2017 National Asian Pacific American Bar Association Convention

Washington, DC

November 1, 2017

SIFMA Compliance & Legal Society Regional Seminar

New York, New York

October 24, 2017

LSTA 22nd Annual Conference

New York, New York

May 16-18, 2017

2017 FINRA Annual Conference

Washington, DC

March 19-22, 2017

SIFMA Compliance & Legal Society 2017 Annual Seminar

San Diego, California

November 12, 2016

SIFMA Compliance & Legal Society Regional Seminar

New York, New York

June 22, 2016

LSTA Webinar: Managing MNPI in the Post Dodd-Frank Loan Market

Webinar

April 20-22, 2016

FMA Securities Compliance Seminar

Chicago, Illinois

March 13-16, 2016

SIFMA Compliance & Legal Society 2016 Annual Seminar

Orlando, Florida

Professional Activities

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.

Practices

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Education

JD, cum laude, Harvard Law School, 1988

BA, Johns Hopkins University, 1985

Bar Admissions

District of Columbia

Virginia

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