Bridging Challenges and Opportunities in Financial Services

Gary DeWaal and Associates is a financial services consulting firm founded in 2013 based in NYC and comprised principally of Gary DeWaal, a 31+ year veteran of the international financial services industry. During most of that time, Gary served as a senior executive officer and worldwide General Counsel of Newedge, a joint venture of Société Générale and Credit Agricole, and one of its predecessors, the Fimat Group. He is a frequent author on financial services industry issues, often participates in industry forums, and regularly is quoted in the financial press for his insight.

The Firm helps clients better understand the complex, financial services regulatory landscape so that they may develop new profitable business opportunities or structure more effective compliance programs. The Firm also helps clients with discrete regulatory issues to develop and maintain better controls to address specific situations, as well as to help ensure that there is no future re-occurrence of distracting issues.

The Firm is not a law firm, but a consulting firm that endeavors to help its clients bridge challenges and opportunities in financial services.

Specifically, Gary DeWaal and Associates is designed to help clients in financial services better understand their business, legal and regulatory landscape and respond to it by (1) developing new business strategies; (2) refining existing strategies; and/or (3) enacting better compliance programs to address discrete issues or just to avoid problems in the first place.

Either relying on the personal work of Gary DeWaal, or the services of other well-known and highly regarded senior industry professionals who may be retained as additional consultants to assist on discrete projects (the “Associates”) the Firm’s work is hands-on. There is no effort to leverage the work of junior or inexperienced personnel. This results in a final product that is based on years of on-the-job experience, is practical and is cost-efficient. Communication is in plain English.

The Firm is aware that the goal of any project is to contribute meaningfully to a client’s bottom line, either by helping devise a strategy to make money or instituting controls that ultimately will help avoid discarding money through operational errors or regulatory fines.

Moreover, the Firm understands that a client’s reputation is invaluable – both with its own customers as well as its regulators. Gary DeWaal and Associates works with its clients to help ensure they avoid regulatory and operational pitfalls that might tarnish how they are seen by their own clients and regulators, and to help maintain a strong compliance culture.

The Firm offers a variety of services including: (1) business analysis (2) long term and short term strategy; (3) regulatory analysis; (4) internal investigations; (5) externally mandated reviews and recommendations; (6) media strategy; (7) implementing a compliance culture; (8) training; (9) litigation consulting; and (10) expert witness.

For more information contact Gary DeWaal at (212) 382-4615 or at garydewaal@gmail.com.


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