Wendy Li focuses her practice on counseling major international financial institutions, multinational businesses, major swap participants, funds, as well as energy, health care, infrastructure and other firms active in capital markets, debt 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 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
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
08.25.14 USA PATRIOT Act/AML Update: FinCEN Issues Long-Awaited Proposed Regulations Regarding Beneficial Ownership Disclosure
Articles, Publications, & Lectures
•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