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: April 27 to May 1 and 4, 2015 (More Spoofing; Flash Boys Again; Cybersecurity; CCP Risk; Security-Based Swaps) - (Posted On Monday, May 04, 2015)
- Bridging the Week: April 20 to 24 and 27, 2015 (CFTC-SEC Merger, Spoofing, LIBOR Manipulation, Bitcoin, Exchange Non-Member Cooperation) - (Posted On Monday, April 27, 2015)
- Between Bridges by Gary DeWaal: London-Based Futures Trader Arrested, Sued by CFTC and Criminally Charged With Contributing to the May 2010 “Flash Crash” Through Spoofing - (Posted On Thursday, April 23, 2015)
- More Funding; Money Pass; Spoofing; Fiduciary Standards; Custody - Bridging the Week: April 13 to 17 and 20, 2015 - (Posted On Monday, April 20, 2015)
- IOSCO Seeks Views on Business Continuity and Recovery Planning by Trading Venues and Intermediaries - (Posted On Monday, April 13, 2015)
- Manipulation and Manipulative Device; Sue and Be Sued; Alleged Pastor Fraud; Transfer Trades - Bridging the Week: March 30 to April 3 and 6, 2015 - (Posted On Monday, April 06, 2015)
- HFTs; MF Global; Another CFTC Big Fine; ATS Breakdowns; Fed Study Assesses Clearing: Bridging the Week March 23 to 27 and 30, 2015 - (Posted On Monday, March 30, 2015)
- Exchange Fined; Algorithmic Traders; Red Flags; China Access- Bridging the Week: March 16 to 20 and 23, 2015 - (Posted On Monday, March 23, 2015)
- Bridging the Week: March 9 to 13 and 16, 2015 re: CFTC, False Claims Act, FINRA and more [VIDEO] - (Posted On Tuesday, March 17, 2015)
- Bridging the Week: Compliance Officer Sanctioned; EFRPs Redux; Lax Supervision; LME Reform [VIDEO] - (Posted On Monday, March 09, 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.