Commentaries - Gary DeWaal and Associates

Bridging the Week by Gary DeWaal: August 11 to 15 and 18, 2014 (Lord Voldemort Appears Again; Wash Trades; Software Theft; Euro Swap Futures)
Categories: Valuable Lessons Learned, Bridging the Week, Compliance Weeds, Helpful to Getting the Business Done
Published Date: August 17, 2014
Bridging the Week by Gary DeWaal: August 4 to 8 and 11, 2014 (Manipulation, Falsification, Position Limits Criticism, Sour Grapes of Wrath)
Categories: Valuable Lessons Learned, Bridging the Week, Compliance Weeds
Published Date: August 10, 2014
Gary DeWaal's Bridging the Week: November 25 to 29 and December 2, 2013 (Attempted Manipulation, Client Money Breaches, and Money Laundering)
Categories: Valuable Lessons Learned, Bridging the Week, My View
Published Date: December 02, 2013
Gary DeWaal's Bridging the Week: October 21 to 25 and 28, 2013 (AlphaMetrix, Foreign Bribes, SEFs)
Categories: Valuable Lessons Learned, Bridging the Week
Published Date: October 28, 2013
Gary DeWaal's Bridging the Week: October 14 to 18 and 21, 2013 (Risk Management, Pre-Enforcement Publicity, More No Action Letters)
Categories: Valuable Lessons Learned, Bridging the Week, My View
Published Date: October 21, 2013
Gary DeWaal's Bridging the Week: October 7 to 11 and 14, 2013
Categories: Valuable Lessons Learned, Bridging the Week, My View
Published Date: October 14, 2013
Gary DeWaal's Bridging the Week: September 30 to October 4, and October 7, 2013 (Compliance Officers, SEFs and AIF Reporting)
Categories: Valuable Lessons Learned, Bridging the Week
Published Date: October 07, 2013
Gary DeWaal's Bridging the Week: September 23 to 27 and 30, 2013
Categories: Valuable Lessons Learned, Bridging the Week, Compliance Weeds, My View
Published Date: September 30, 2013
Gary DeWaal's Bridging the Week: September 16 to 20 and 23, 2013
Categories: Valuable Lessons Learned, Bridging the Week
Published Date: September 23, 2013
Reflections on the JP Morgan's Settlements -- Human Nature, Internal Controls, and the CFTC's Broad New Anti-Manipulation Authority
Categories: Valuable Lessons Learned, My View, News Developments, Culture and Ethics, Between Bridges
Published Date: September 20, 2013
Gary DeWaal's Bridging the Week: August 26-30 and September 3, 2013
Categories: Valuable Lessons Learned, Bridging the Week
Published Date: September 03, 2013
CFTC, UK FCA and CME Group Exchanges File Charges and Settle with Proprietary Trading Company and Principal for Spoofing
Categories: Valuable Lessons Learned, News Developments, High Frequency Trading, Between Bridges
Published Date: July 22, 2013
CFTC Files Long Awaited Enforcement Action Related to MF Global Collapse
Categories: Valuable Lessons Learned, News Developments, Between Bridges
Published Date: June 27, 2013
CFTC Sues ABN AMRO for Segregated and Secured Funds and Net Capital Violations. $1 Million Fine Paid.
Categories: Valuable Lessons Learned, News Developments, Between Bridges
Published Date: June 20, 2013
CFTC Fines FC Stone $1.5 Million for Failing to Have Adequate Risk Controls
Categories: Valuable Lessons Learned, News Developments, Between Bridges
Published Date: May 29, 2013

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