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
- New York BitLicense Regulations Virtually Certain to Significantly Impact Transactions in Virtual Currencies - (Posted On Wednesday, July 08, 2015)
- Bridging the Week: June 29 to July 3 and 6, 2015 (Diva of Distressed; Uncleared Margin; Reg MAR Breakdown; China; FINRA Defamation) - (Posted On Monday, July 06, 2015)
- Bridging the Week: June 22 to 26 and 29, 2015 (Clawbacks, Third-Party Payments, Block Trades, Trade Allocations, Governance; Reg SCI) - (Posted On Monday, June 29, 2015)
- Cyber-Attacks: Threats, Regulatory Reaction and Practical Proactive Measures to Help Avoid Risks - (Posted On Wednesday, June 24, 2015)
- Bridging the Week: June 15 to 19 and 22, 2015 (Another CCO Sued; Atypical Price Activity; Unauthorized Swaps; Illegal Swaps; Manipulation) - (Posted On Monday, June 22, 2015)
- Bridging the Week: June 8 to 12 and 15, 2015 (Fair and Effective Markets, ALJs Unconstitutional, Europe’s More Extensive Position Limits) - (Posted On Monday, June 15, 2015)
- Bridging the Week: June 1 to 5 and 8, 2015 [VIDEO] (BitLicense, Reg SHO, TRACE, CCPs, Manipulation and Shakespeare - (Posted On Monday, June 08, 2015)
- UCITS, CCP Risks, Forex Manipulation; Pre-trade Communications, NFA Forex Dealer Members Capital - Bridging the Weeks May 18 - June 1, 2015 [VIDEO] - (Posted On Monday, June 01, 2015)
- CFTC Chairman Discloses Second Phase of Regulatory Review Before Senate Committee; Commissioner Giancarlo Questions Position Limits Proposal Before EnergyRisk Summit - (Posted On Monday, May 18, 2015)
- Spoofing Redux; Virtual Currencies; Larger Tick Size; Block Trades; CCP Equivalency; SEC Forum Choices: Bridging the Week: May 4 to 8 and 11, 2015 - (Posted On Monday, May 11, 2015)
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.