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
- SEC Chastised; Cybersecurity; Hacking; Supervision; Compliance Outsourcing; the Cloud - Bridging the Week: November 9 - 13 and 16, 2015 [VIDEO] - (Posted On Monday, November 16, 2015)
- Highlights of Final Prudential Regulator Margin Rules for Non-Cleared Swaps - (Posted On Tuesday, November 10, 2015)
- Bridging the Week: November 2 - 6 and 9 2015 (Spoofing Conviction; Financial Crimes; CCOs; Tweets and Manipulation) - (Posted On Monday, November 09, 2015)
- Bridging the Week: October 26 to 30 and November 2, 2015 (Crowdfunding; Malfeasance; TRACE; Overcharges) - (Posted On Monday, November 02, 2015)
- Bridging the Week: October 19 to 23 and 26, 2015 (Automated Trading Controls; Too Much Regulation; Spoofing; Evasion; Customer Funds Investments) - (Posted On Monday, October 26, 2015)
- Bridging the Week: October 12 to 16 and 19, 2015 (Pre-Arranged Trades, Wash Sales, Spoofing, CCO Liability, Non-Disclosure, IBs) - (Posted On Monday, October 19, 2015)
- Bridging the Week: October 5 to 9 and 12, 2015 (Spoofing; Politics; Non-Public Information Sharing; Inadequate Disclosures) - (Posted On Monday, October 12, 2015)
- Bridging the Week: September 28 to October 2 and October 5, 2015 (MiFID II; Faulty Software; Bad Reports; Delayed Reports) - (Posted On Tuesday, October 06, 2015)
- Bridging the Week: September 21 to 25 and 28, 2015 (Aggregation, Cybersecurity, Wash Sales, Fund Redemptions, IB Records, CTA Registration) - (Posted On Monday, October 05, 2015)
- CFTC Proposes Revisions to Pending Aggregation Rules - (Posted On Monday, September 28, 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.