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: Summarily Barred, False Performance Data, Inadequate Disclosure, Grass Is Greener (August 22 to 26 and August 29, 2016) [VIDEO] - (Posted On Monday, August 29, 2016)
- Bridging the Week: August 15 to 19 and August 22, 2016 -Whistleblowing; President Banned; Bad Reports; CCP Risk; De Minimis [VIDEO] - (Posted On Monday, August 22, 2016)
- Bridging the Week: MF Global; Customer Funds Investments; Whistleblowing; It’s Constitutional [VIDEO] - (Posted On Monday, August 15, 2016)
- Bridging the Week: Exchange Fees; Cross Border Relief; Leaking Confidential Information; OATS; Times They Are A Changin’ [VIDEO] - (Posted On Monday, August 08, 2016)
- Bridging the Week: New Clearing Member Category; Above the Law; MF Global; FX Trading Front Running; Deliveries; EFRPs [VIDEO] - (Posted On Monday, July 25, 2016)
- Bridging the Week: Spoofing; Physical Position Reporting; Administrative Proceedings; Blue Sheets; Reg AT; Order Handling Disclosure; Hedge Exemptions - (Posted On Monday, July 18, 2016)
- SEC Proposes Rule Requiring Investment Advisers To Adopt Business Continuity and Transition Plans - (Posted On Wednesday, July 13, 2016)
- Bridging the Weeks: Spoofing; Business Continuity; Blue Sheets; Large Trader Reporting; Transaction Monitoring; Reg AT - June 27 to July 8 and July 11, 2016 - (Posted On Monday, July 11, 2016)
- Bridging the Week: Brexit; Reg AT; Reserve and Control; Hacking; Manipulation; Block Trades; EFRPs - (Posted On Monday, June 27, 2016)
- Bridging the Week: Who’s a Customer?; Front-Running; Spoofing; Block Trades; Red Flags - (Posted On Monday, June 20, 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.