Wendy Li

New York,  NY  U.S.A.

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Experience & Credentials

Practice Areas

  • Corporate & Securities
  • Financial Regulatory and Compliance Group
  • Financial Institutions
  • Education
  • Life Sciences & Medical Technology
  • Global
  • Global - Asia Practice
  • Private Equity
  • Mergers & Acquisitions
Contact InfoTelephone: 212.677.8787
Fax: 212.801.6400
University Sichuan University, B.A.
Law SchoolPeking University Law School, LL.B.; Southern Methodist University Dedman School of Law, LL.M., cum laude; University of Oxford, M.Sc., Law/Finance
Admitted2000, New York; 2006, California; U.S. District Court for the Northern District of Texas

Professional & Community Involvement
•Member, California Bar Association
•Member, New York Bar Association
•Past Chair, Dallas Association of Young Lawyers
•Lawyer Promoting Diversity Committee
•Minority Involvement Committee
•Past President, Beijing University Alumni Association of Greater Dallas
•Past Secretary, Dallas Asian American Bar Association, Board of Directors

LanguagesChinese (Mandarin), Native
BornPeoples Republic of China

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 is also experienced with the Financial Holding Company Act, Bank Holding Company Act, Regulation K, Regulation Y, Regulation W, Basel III, Dodd-Frank Act regulations and Volcker Rule Compliance Programs.

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, energy, telecommunications, software, semiconductor, automotive, music, food and aviation. She frequently represents Asian companies, including banks and international educational institutions, doing business in the United States.

Awards & Recognition
•Listed, Rising Star, Dallas Association of Young Lawyers, 2003

Associated News & Events
Greenberg Traurig Continues Expansion of Corporate and Financial Regulatory and Compliance Practices

USA PATRIOT Act/AML Update: FinCEN Issues Long-Awaited Proposed Regulations Regarding Beneficial Ownership Disclosure

Articles, Publications, & Lectures
•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

Areas of Concentration
•Banking and financial services
•Dodd-Frank Wall Street Reform and Consumer Protection Act
•Volcker Rule
•Oil and gas
•Sovereign wealth funds

Reported CasesSignificant Representations: Represented various Asian banks in their establishment of New York and California branches and provided regulatory and compliance advice. Established OFAC/AML/BSA compliance, access privilege to the Federal Discount Window and CHIPS programs for clients.; Advised international bank headquartered in Middle East in its trade finance and correspondent banking related matters.; Advised a major European bank in its core banking system renovation as well as risk and compliance program.; Represented leading U.S. life insurance company in a $20 billion, 15-year preference plus variable annuity derivatives trade.; Represented various leading U.S. banks in their syndicated and revolving credit facilities as well as bridge, mezzanine and senior credit facilities for various telecommunication companies, hedge funds and overseas real estate investment companies wholly owned by leading U.S. bank holding companies, with individual facility sizes up to $4.7 billion.; Represented leading U.S. and European investment banks, as underwriters, in various secured notes exempted securities offerings up to $1 billion, with interest payment guaranteed by U.S. government agency.; Represented various reinsurance SPVs sponsored by leading U.S. and European insurance companies in their 144A/Reg. S principal-at-risk or principal-protected variable rate notes offerings linked to certain typhoon, hurricane and/or earthquake events, with individual issuance sizes up to $1 billion.; Represented various major U.S. and European investment banks in their total return swap negotiations in connection with risk-linked securities, with individual notional amounts up to $1 billion.; Represented U.S. public utility companies in their $250-$350 million mortgage bond public offerings.; Represented U.S. subsidiary of a major Caribbean bank in its $500 million registered senior note offering.; Represented various major U.S. financial services companies in their 144A/Reg. S $100 million floating rate subordinated deferrable interest debentures program, $350 million trust preferred, as well as up to 500 billion Venezuelan Bolivar zero coupon securities offerings.; Represented major asset management subsidiary of a leading U.S. financial services company in its $550 million 144A/Reg. S secured notes offering with innovative payment structure linked to realized tax abatement.; Represented various public companies in their equity public offerings, including a $300 million tender offer, a spin-off and a 106.9 million cross-border acquisition.; Represented various corporations and special purpose acquisition companies in their $300-$500 million initial public offerings.; Represented major European investment bank in a $21.2 million, five-year commodity put option sale and purchase of call option.; Represented leading U.S. investment bank in its up to $102 million securities swap forward trades between the bank and various Venezuelan financial institutions.; Represented leading U.S. investment bank in 500 billion VEB (Venezuelan Bolivar) zero coupon note offering and 93.2 million VEF (Venezuelan Bolivar Fuerte) zero coupon note offering.; Represented leading U.S. investment banks in their securities offerings of reverse exchangeable notes linked to common stock of NYSE Euronext and contingent protection securities linked to S&P 500 index, Dow Jones Euro STOXX 50 index and Nikkei 225 index.; Represented various international financial institutions as fund sponsors in their fund private placements and registrations of stock-exchange listed offshore funds. Advised private equity fund investment manager on U.S. securities law-related matters.; Represented leading publicly listed conglomerate headquartered in China in its formation of a $5 billion private equity funds.; Represented leading U.S. banks in their up to $4.7 billion syndicated credit facilities.; Advised EB-5 investment program participants on U.S. securities law matters.; Represented international education institution before New York State Board of Regents and counseled client in its corporate formation and obtaining consents from the Board of Regents to incorporate a graduate school. Advised client with respect to Higher Education Act and Title IV practices.; Represented a U.S. aviation company in its $25 million post-arbitration award negotiations arising from a cross-border acquisition.

Documents by this lawyer on Martindale.com

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USA PATRIOT Act/AML Update: FinCEN Issues Long-Awaited Proposed Regulations Regarding Beneficial Ownership Disclosure
Carl A. Fornaris,Wendy Li,Micah Schwalb, September 1, 2014
On July 23, 2014, the Financial Crimes Enforcement Network of the U.S. Department of the Treasury (FinCEN) published highly-anticipated proposed regulations that, if adopted into final regulations, would require banks, securities broker dealers, mutual funds, futures commission merchants, and...
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Office Information

Wendy Li

200 Park Avenue
New YorkNY 10166


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