Gary DeWaal focuses his practice on financial services regulatory matters. He counsels clients on the application of evolving regulatory requirements to existing businesses and structuring more effective compliance programs, as well as assists in defending and resolving regulatory disciplinary actions and enforcement matters. Gary also advises buy-side and sell-side clients, as well as trading facilities and clearing houses, on the developing laws and regulations related to cryptocurrencies and digital tokens.
Previously, Gary was a senior managing director and group general counsel for Newedge, where he oversaw the worldwide Legal, Compliance, Financial Crimes Prevention (including AML) and Regulatory Developments departments. He also worked for the US Commodity Futures Trading Commission's Division of Enforcement in New York. For several years, Gary taught a course in derivatives regulation as an adjunct professor at Brooklyn Law School. He currently serves as a practitioner faculty and mentor for the State University of New York Buffalo Law School’s New York City Program on Finance & Law.
Gary is frequently quoted in the media for his thoughts on the international financial services industry and has published numerous articles on futures and securities industry issues. He regularly lectures or appears as a speaker at futures and securities industry conferences or in training sessions for international regulators. Gary is the sole author and publisher of Bridging the Week, a blog addressing issues in the financial services industry.
More Legal and Business Bylines From Gary De Waal
- Bridging the Week by Gary DeWaal: September 17 - 21 and September 24, 2018 (Spoofing; Cryptocurrency Trading Platforms; Post-Trade Allocations) - (Posted On Monday, September 24, 2018)
- Bridging the Week by Gary DeWaal: September 10 - 14 and September 17, 2018 (ICOs; Registration; Audit Trail; Reporting; Blue Sheets; Supervision) - (Posted On Monday, September 17, 2018)
- Bridging the Week by Gary DeWaal: August 27 to September 7 and September 10, 2018 (Quantitative Models; Cross-Border Swaps Guidance; The Meanings of “Or” and “Actual Delivery”) - (Posted On Monday, September 10, 2018)
- Bridging the Week: August 20 to 24 and August 27, 2018 (CCOs; Annual Compliance Report; Bitcoin Futures ETPs; Reg SHO: Virtual Currency) - (Posted On Monday, August 27, 2018)
- Bridging the Week by Gary DeWaal: August 13 to 17 and August 20, 2018 (ICO Halted; Misappropriation of Client Funds Not Halted; Rogue Trading) - (Posted On Monday, August 20, 2018)
- Bridging the Week by Gary DeWaal: August 6 to 10 and August 13, 2018 (Spoofing; Post-Trade Allocations; Wash Trades; Supervision; Cryptocurrency Activities) - (Posted On Monday, August 13, 2018)
- NFA Announces the Effective Date of Disclosure Requirements for NFA Members Engaging in Virtual Currency Activities - (Posted On Friday, August 10, 2018)
- Bridging the Weeks by Gary DeWaal: July 23 to August 3 and August 6, 2018 (Post-Trade Allocations; Exchange-Traded Products; Statutory Requirements) - (Posted On Monday, August 06, 2018)
- Between Bridges – July 27, 2018: National Futures Association Proposes Interpretive Notice Requiring FCM, IB, CTA and CPO Disclosures Regarding Virtual Currency Activity - (Posted On Friday, July 27, 2018)
- Bridging the Weeks by Gary DeWaal: Attempted Manipulation; Curious About Digital Assets; Whistleblowing; SARs; Obstruction - (Posted On Monday, July 23, 2018)
Gary De Waal and his “Bridging the Week” column has been selected for a National Law Review Go-To Thought Leadership Award. Mr. De Waal’s consistent and thorough coverage of financial regulation in his weekly column--complete with a video version--provides NLR readers with good, solid legal analysis of the many updates on the SEC, FINRA and the CFTC, just to name a few. With steady coverage of CFTC's enforcement actions, SEC Penalties and analysis of Cryptosecurities, Mr. De Waal has written an impressive amount of analysis providing an important asset for NLR readers as they navigate these sometimes confusing waters.