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
- CFTC Re-Proposes Capital Rules for Swap Dealers - (Posted On Monday, December 19, 2016)
- Commodity Futures Trading Commission Finalizes Aggregation Rules, Re-Proposes Position Limits Rule - (Posted On Monday, December 19, 2016)
- Broken Order Router; Trading Illicitly for Mom; Manipulation: Reg SHO; Reg MAR - Bridging the Week: December 12 to 16 and December 19, 2016 [VIDEO] - (Posted On Monday, December 19, 2016)
- Bridging the Week: Dec 5 to 9 and Dec 12, 2016 (Position Limits; Aggregation; Owned Entity Exemption; Insider Trader; Manipulation) - (Posted On Monday, December 12, 2016)
- CFTC Re-Proposes Minimum Capital Requirements for Swap Dealers and Major Swap Participants - (Posted On Friday, December 09, 2016)
- Bridging the Week: Nov 21 to Dec 5, 2016 (Capital for Swap Dealers; New Disciplinary Proceedings Procedures; Leverage Ratio) [VIDEO] - (Posted On Monday, December 05, 2016)
- Bridging the Week: November 14 to 18 and November 21, 2016 (Sarao, Coscia and Spoofing; Friends and Family Hiring; Politicians Tell Regulators Put Pens Down) [VIDEO] - (Posted On Monday, November 21, 2016)
- Foreign Listed Stock Index Futures and Options Approval Chart November 2016 - (Posted On Monday, November 14, 2016)
- Bridging the Week: November 7 to 11 and November 14, 2016 (Spoofer Pleads; Pre-Hedging Futures Blocks; Form 40 and Reg AT Again; President Trump) [VIDEO] - (Posted On Monday, November 14, 2016)
- CFTC Approves Supplemental Proposal to Regulation AT - (Posted On Thursday, November 10, 2016)
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.