Yvonne Mak advises clients on regulatory compliance with the Dodd-Frank Act as well as with Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) rules and regulations. She assists with preparing applications to the CFTC for Swap Data Repositories (SDRs) and issues related to the changing regulatory structure of the derivatives industry. Ms. Mak represents various financial and technology firms in registering as SDRs, Swap Execution Facilities (SEFs), Swap Dealers (SDs), and Major Swap Participants (MSPs). In addition to regulatory compliance work, Ms. Mak assists futures and commodities companies on transactional matters and in preparing agreements as well as employment settlement disputes, corporate governance, and intellectual property law.
Ms. Mak has worked in litigation-support projects where she analyzed antitrust issues arising from corporate mergers and assessed potential Foreign Corrupt Practices Act (FCPA) liability as an integral part of various global companies’ internal ethics investigations. She also volunteered as a law clerk in the Commercial Division of the New York County Civil Supreme Court, where she researched, analyzed, and drafted judicial opinions on complex business disputes.