Wendy Li focuses her practice on counseling major international financial institutions, multinational businesses, major swap participants, funds, as well as energy, real estate, health care, infrastructure and other firms active in capital markets, debt, preferred equity and project financings, derivatives trading, and hedge and private equity funds.
Ms. Li represents issuers and underwriters in publicly and privately offered high-yield, trust preferred, convertible, and exchangeable debt, equity, risk-linked and hybrid securities, as well as IPO and SPAC transactions. She counsels clients, including investment banks, on '33 Act, '34 Act, '40 Act and myriad derivatives-related matters.
Ms. Li regularly represents clients before the Federal Reserve Board, the Securities and Exchange Commission, and various federal and state banking regulators. She is experienced with domestic and international bank regulatory mechanisms and their impact on wholesale and retail banking, securities, trust, and capital market operations. Ms. Li counsels international banks opening branches, agencies, representative offices and brokerage subsidiaries as well as establishing commercial paper and Yankee CD programs in the United States. She has assisted financial institutions in their establishment of BSA/AML and Volcker Rule Compliance programs. Ms. Li is also experienced with the Financial Holding Company Act, Bank Holding Company Act, Bank Merger Act, Change in Bank Control Act, Regulation K, Regulation Y, Regulation W, Basel III, and Dodd-Frank Act regulations.
Ms. Li's merger and acquisitions experience includes representing acquirors and sellers in domestic and cross border transactions in a variety of industries, including banks, insurance, real estate, music, and aviation. She frequently represents Asian companies, including banks, real estate conglomerates and international educational institutions, doing business in the United States.
Areas of Concentration
•Banking and financial services
•Dodd-Frank Wall Street Reform and Consumer Protection Act
•Sovereign wealth funds
•Real estate acquisition, development and financing
Awards & Recognition
•Listed, Rising Star, Dallas Association of Young Lawyers, 2003
Associated News & Events
01.07.14 Greenberg Traurig Continues Expansion of Corporate and Financial Regulatory and Compliance Practices
01.15.16 U.S. Treasury Department Will Require Certain Title Insurance Companies and Their Agents To Report the Identities of the Ultimate Beneficial Owners of Entities Used To Buy Manhattan or Miami Residential Real Estate in All-Cash Purchases
08.25.14 USA PATRIOT Act/AML Update: FinCEN Issues Long-Awaited Proposed Regulations Regarding Beneficial Ownership Disclosure
Articles, Publications, & Lectures
•Moderator, Banking, Finance & Investment in Gaming Part II: The Latest in AML and Similar Financial Issues of Interest to Savvy Operators, Macau Gaming Show & The Macau Tourism and Culture Summit 2015, November 18, 2015
•Panelist, Explanation, Regulation and Litigation of Virtual Currencies, Association of Corporate Counsel 2015 Annual Conference, Boston, MA, October 19, 2015
•Panelist, Know Your Customer: AML and FinCEN Compliance, Saratoga Institute on Equine, Racing & Gaming Law 15th Annual Conference hosted by Albany Law School and American Bar Association, Saratoga Spring, NY, August 12, 2015
•Panelist, Anti-Money Laundering: Development Ideal, Policies and Compliance Programs, GLI University, International Association of Gaming Advisors 2015 Annual Conference, Vancouver, BC, Canada, June 2, 2015
•Co-Author, USA PATRIOT Act/AML Update: FinCEN Issues Long-Awaited Proposed Regulations Regarding Beneficial Ownership Disclosure, GT Client Alert, August 25, 2014
•Panelist, Anti-Money Laundering Update: Bitcoin Issues, Red Flags and Enforcement Actions, Greenberg Traurig LLP Hoffman Professionalism Center, New York, NY, April 17, 2014
•Panelist, Stalwarts Roundtable: Asian Outbound FDI - The How, When, Why and Where, 2014 International Financial Forum (The M&A Advisor), New York, NY, April 8, 2014
•Speaker, Understanding the Lasting Impact of Basel III on Community Banks, Knowledge Congress, March 27, 2014
•Speaker, What Lies Beyond the BRICS? A Look at the Most Promising International Markets, Princeton Council on World Affairs, May 15, 2012