Rebecca Leon

Rebecca Leon

Partner
Baker & McKenzie LLP

Biography

Rebecca Leon is a partner in Baker McKenzie's Financial Regulation and Enforcement Practice Group. She counsels broker-dealer and other financial services clients on a wide range of state and federal securities law issues, as well as on compliance with the rules of the Financial Industry Regulatory Authority (FINRA). She assists clients with a panoply of intercompany, customer and industry agreements and works closely to guide financial services firms on structuring and developing their global operations.

Practice Focus

Rebecca counsels broker-dealers, investment advisers, fund managers, banks and other financial services clients from both a US and global perspective. She advises her clients on marketing and offering financial products and services outside the US; foreign registration, licensing and exemptions; establishing foreign operations; and concurrent compliance with US and foreign law. She works in more than 100 jurisdictions worldwide.

A true international lawyer, she maintains an active network of contacts of attorneys outside the United States in order to efficiently and effectively guide clients through the legal challenges of international initiatives. Prior to joining the firm, Rebecca worked at law firms in New York and Miami, where she also assisted clients with hedge fund formation, public offerings, private placements, securities arbitrations, and investigations by the US Securities and Exchange Commission (SEC) and FINRA. Notably, she also has prior experience as a staff attorney in the Enforcement Division of the SEC’s New York Regional Office. During law school, she maintained internships at both the New York Stock Exchange (NYSE) and the US Commodity Futures Trading Commission (CFTC).

Professional Associations and Memberships

  • Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal Society

Admissions

  • Florida~United States (2005)
  • New York~United States (1996)
  • U.S. District Court, Southern District of New York~United States (1996)
  • U.S. District Court, Eastern District of New York~United States (1996)

Education

  • Brooklyn Law School (JD) (1995)
  • Case Western Reserve University (MBA) (1992)
  • Case Western Reserve University (BA) (1990)

Languages

  • English

Presentations

  • Speaker, "Global Marketing and Distribution Compliance Practices," 2019 National Society of Compliance Professionals National Conference, 21-23 October 2019

  • Speaker, "International Cross-Border Regulatory Issues," SIFMA Regional Firms GC/CCO Roundtable, 17 September 2019

  • Speaker, "What’s Next for LatAm?," Pershing’s Latin America Symposium, 25 September 2018

  • Speaker, "Cross-Border Regulatory Developments & Outlook in 2018," Wells Fargo 2018 International Summit: Taking it to the Next Level, 29-31 August 2018

  • Speaker, "Coverage Challenges for International Private Clients," SIFMA C&L 2018 Annual Seminar, 18-21 March 2018