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: AT Roundtable; AT System Malfunction; AT System Developer Registration; Cybersecurity - June 6 to 10 and 13, 2016 - (Posted On Monday, June 13, 2016)
- CFTC Proposes To Allow Designated Contract Markets and Swap Execution Facilities To Recognize Certain Hedging and Spread Positions From Speculative Position Limits - (Posted On Monday, June 06, 2016)
- Bridging Weeks: AML; DLT; Attempted Manipulation; Manipulative Device; Registration; EFRPs; Block Trades; Hedge Exemptions - (Posted On Monday, June 06, 2016)
- Between Bridges (June 1, 2016): CFTC to Hold Public Roundtable Regarding Regulation AT; Five Topics To Be Discussed Including Who Should be Covered - (Posted On Wednesday, June 01, 2016)
- Between Bridges (May 27, 2016): CFTC Proposes to Authorize Exchanges to Grant Physical Commodity Users Non-Enumerated Hedging Exemptions and Other Relief Related to Speculative Position Limits - (Posted On Friday, May 27, 2016)
- Bridging the Week: May 16 - 20 and May 23, 2016 (AML; Compliance Officers; Whistleblowers; Golfer) - (Posted On Monday, May 23, 2016)
- Bridging the Week by Gary DeWaal: May 9 - 13 and May 16, 2016 (Personal Liability; Rogue Trader; Hubris Risk; Spoofing) - (Posted On Monday, May 16, 2016)
- Bridging the Week: May 2 – 6 and 9, 2016 (AML CIP; Ether; LOPR; Variable Annuities) - (Posted On Monday, May 09, 2016)
- Bridging the Week: Report Cards; EFRPs; Market Disruption; HFT; Algorithmic Trading; Cybersecurity [VIDEO] - (Posted On Monday, May 02, 2016)
- Bridging the Week: April 18 - 22 and 25, 2016 (SEF Claims Foul; Compensation Deferrals and Claw-Backs; Financial Stability) - (Posted On Monday, April 25, 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.