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Gary DeWaal

Special Counsel
gary.dewaal@kattenlaw.com
New York Office
p+1.212.940.6558
f+1.212.940.8776
Overview

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.

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.

Shown below is a selection of Gary’s engagements.

Recognition

International Law Office

International Law Office, Top Five General Counsel in the World, 2010
JD Supra Reader Choice - Top Author, Cybersecurity and Compliance
Advisories
November 24, 2015
Articles
January 2016
Co-author, Questions and Answers Concerning the Final Prudential Regulator Margin Rules for Non-Cleared Swaps, Derivatives
December 2015
Co-author, New York BitLicense Regulations Virtually Certain to Significantly Impact Transactions in Virtual Currencies, Journal of Investment Compliance
November 18, 2015
Co-author, Cyber-Attacks and Developments in Cybersecurity, The Review of Securities and Commodities Regulation
Books
2014
Co-author, CPO and CTA Registration and Regulation, OTC Derivatives Regulation Under Dodd-Frank: A Guide to Registration, Reporting, Business Conduct, and Clearing, Thomson Reuters, 2014 ed.
Newsletters
Weekly
Author | Corporate & Financial Weekly Digest 
August 8, 2017
July 26, 2017
Firm News
June 9, 2014
Futures Notes Gary DeWaal Joins Katten as Special Counsel
Presentations
Gary  DeWaal

Education

  • JD, The State University of New York Buffalo Law School
  • MBA, The State University of New York at Buffalo, with honors
  • BA, The State University of New York at Stony Brook, with high honors, Phi Beta Kappa, Omicron Delta Epsilon

Bar Admissions

  • New York

Recognition

International Law Office

Top Five General Counsel in the World, 2010
Cybersecurity and Compliance
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Memberships

  • Commodity Futures Trading Commission, Technology Advisory Committee
  • Futures Industry Association (FIA), Law & Compliance Division, Executive Committee
  • Institute for Financial Markets, Board of Trustees
  • Thalēs Trading Solutions LLC, Advisory Board
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