Dates: May 13 - 15, 2024
Location: New Orleans, Louisiana
The Steering Committee welcomes up to 48 senior attorneys from leading law firms and in-house counsel from ‘non-bank’ financial institutions who are at the forefront of enforcement and regulation. Participation is drawn from New York and Washington with a few heavy hitters from other states. During the sessions, high-level discussions are conducted between legal counsel and compliance officers at regulated entities outside the realm of the established incumbent financial institutions who are subject to investigation and enforcement, and the major law firms who advise them.
Using candid, seminar-style discussions at this annual meeting, the group shares the most pressing issues they face on behalf of their clients or companies. Participants examine trends and developments in every jurisdiction to learn how others address these problems and work together to identify solutions. The group also has the opportunity to have meaningful discussions with key players from select law enforcement and other regulatory bodies.
This elite group, comprised of experts in the field, personally nominates all invitees and develops the Agenda, which forms the basis of our discussions.
Currently, Youli Lee serves as the Senior Legal Director over Global Investigations, Litigation, and Governance. In her capacity as global head, Ms. Lee and her team regularly advise the company on matters relating to criminal investigations, civil and criminal litigation, compliance, corporate compliance, and regulatory matters. Ms. Lee also collaboratively oversees marketing and product efforts as well.
Prior to joining Chainalysis, Ms. Lee was an Associate General Counsel with the Strategic Advocacy section at Coinbase. In her role leading Strategic Response, Ms. Lee handled all legal aspects of Coinbase’s incident response, routinely assembling and leading cross-functional teams from across the company. Additionally, Ms. Lee advised on issues from content-moderation policies to international legal issues, sanctions, intellectual property, and a wide variety of security issues.
Ms. Lee also served as Legal Counsel to the Biden-Harris Presidential Transition Team in the Office of Legal Policy. Prior to her service there, Ms. Lee was the Chief of the Policy and Legislation Division within the Office of the Chief Counsel for the Bureau of Industry and Security. While there, Ms. Lee led a team of attorneys and worked on cutting-edge policy initiatives and litigation that dealt with the intersection of national security and commerce in the United States.
Ms. Lee also served with distinction as an Assistant U.S. Attorney in the U.S. Attorney’s Office for the District of Columbia. As a prosecutor in the Cyber Crime Section, Ms. Lee investigated and prosecuted cybercrime cases that included foreign-actor intrusions into U.S. companies and political organizations; bitcoin-exchange intrusions and money laundering by foreign actor(s); white-collar, bitcoin securities violations; international cryptojacking; and multiple large-scale, complex bitcoin, wire-fraud, and money laundering investigation. Ms. Lee also represented the United States in the Appellate Division, having briefed and argued close to 60 cases before the U.S. Court of Appeals for the D.C. Circuit and the D.C. Court of Appeals. Additionally, Ms. Lee served in multiple trial sections of the U.S. Attorney’s Office and has tried over 40 bench and jury trials.
Ms. Lee was also adjunct faculty at the Boston University School of Law, where she developed and taught a criminal appeals class. In addition, Ms. Lee was the Senior Policy Advisor for a subsidiary of Feeding America and worked to develop national food-policy initiatives.
Ms. Lee has co-authored numerous articles including an article on the compelled use of biometric keys to unlock digital devices, which was published in the Department of Justice Journal of Federal Law and Practice, as well as an article on the need for a Select Committee on Terrorism, which was published in the John F. Kennedy School of Government’s Perspectives on Preparedness. Ms. Lee received her J.D. in 2001 from Boston University School of Law and her Bachelor of Science in Molecular Biophysics and Biochemistry from Yale University in 1996.
Deputy General Counsel for Regulatory Affairs and Chief Compliance Officer
Frederick most recently served as the Chief Compliance Officer for Brex, responsible for the strategy, governance and execution of its Compliance and Operational Risk programs as well as its regulatory engagement strategy with both FINRA and the SEC. In this role, Frederick created programs, policies and procedures covering all areas of regulatory compliance including Broker Dealer, Payments, Privacy, Financial Crime, Fraud, Lending, Conduct Risk and Consumer Protection. Frederick was also responsible for maintaining relationships with key regulators, the board and key industry partners.
Before joining Brex, Frederick was the Global Head of Financial Crime, Employment and Competition Legal at Barclays and the Global FIU Executive at Bank of America. In these roles Frederick led engagement efforts with the Federal Reserve, the OCC, SEC, FINRA, the FCA, MAS and various other state, federal and international regulators.
Prior to entering the private sector, Frederick served as the Deputy Director of FinCEN where he was responsible for protecting the United States financial system from money laundering and terrorist financing and developing and implementing U.S. anti-money laundering policy. Before joining the Treasury, Frederick was a federal prosecutor and Deputy Chief of the Asset Forfeiture and Money Laundering Section of the Department of Justice.
Shona graduated from the University College Dublin with a Bachelor’s Degree in English and Spanish. She has a background in medical, insurance and financial administration. In her spare time, Shona loves to travel and enjoys planning trips all around the world.
Built on genuine interactions and spontaneous connections, the Forum is a unique opportunity for practical discussions among preeminent legal counsel and compliance officers, from leading law firms and FinTech companies across the United States, who specialize in ‘non-bank’ financial institutions enforcement and regulation.
"Given the rapidly evolving regulatory landscape for digital assets and the FinTech sector in general, a free-flowing discussions with top industry stakeholders brought together by Cambridge Forums is invaluable."Stephen Aschettino Head of FinTech, United States Norton Rose Fulbright US LLP New York
"The Forum is unlike any other conference. The open dialogue makes for a uniquely dynamic, engaging, and relevant experience!"Ilan T. Graff Partner Fried, Frank, Harris, Shriver & Jacobson LLP New York
"The Forum on Risk Regulation & Enforcement in FinTech provided the ideal format and setting for meaningful interaction with a terrific group of participants."Joshua Larocca Senior Managing Director Stroz Friedberg LLC, an Aon Company New York