The current regulatory and market environment is possibly the most challenging in decades.

Relying on Gary DeWaal’s 31+ years broad experience in the financial services industry, including as a senior executive and the worldwide General Counsel for one of the largest brokers of exchange-traded derivatives in the world, and as a Senior Trial Attorney for Division of Enforcement of the United States Commodity Futures Trading Commission, as well as Gary’s prior experience in public relations and journalism, Gary DeWaal & Associates is able to analyze complex regulatory issues impacting businesses in the financial services industry worldwide and propose comprehensive yet practical solutions.

Applying Gary’s oftentimes unique perspective, Gary DeWaal & Associates can advise on regulatory, business or media strategies in connection with a wide-range of issues confronted daily by sell-side or buy side firms in the financial services industry, as well as trading facilities and clearing houses, and can help analyze specific business opportunities. It is also able to explain or conduct training regarding complex matters in plain language, whether related to regulatory developments in the United States (including those related to the roll out of Dodd Frank), Europe or elsewhere in the world, as well as to conduct particularized special reviews in response to internal or external requirements.

Services

• Business analysis and strategic planning
• Internal investigations
• Externally mandated reviews and recommendations
• Regulatory analysis
• Media strategy
• Implementing a compliance culture
• Training
• Expert witness