Compliance Weeds

Bridging the Week by Gary DeWaal: September 1 to 5 and 8, 2014 (Banks Are the Big News; MF Global; Investment Advisor Conflicts; ISDAfix)
Categories: Bridging the Week, Compliance Weeds
Published Date: September 07, 2014
Between Bridges by Gary DeWaal: CME Group Issues New Rule Regarding Disruptive Trading Practices
Categories: Compliance Weeds, News Developments, Between Bridges
Published Date: September 04, 2014
Bridging the Weeks by Gary DeWaal: August 18 to 29 and September 2, 2014 (Mortgage Securities Gone Bad; AML; Disruptive Trades; Shakespeare)
Categories: Bridging the Week, Compliance Weeds, My View
Published Date: September 01, 2014
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
Bridging the Week by Gary DeWaal: July 28 to August 1 and 4, 2014 (CFTC Carrot and Stick; Proposed New AML Obligations; MFA Wish List; ICE Hedges)
Categories: Bridging the Week, Compliance Weeds, Culture and Ethics
Published Date: August 03, 2014
Bridging the Week by Gary DeWaal: July 14 to 18 and 21, 2014 (Mutual Non-Recognition; Wash Sales; Unregistered CPOs; IBs)
Categories: Bridging the Week, Compliance Weeds, My View
Published Date: July 20, 2014
Bridging the Week by Gary DeWaal: June 30 to July 4 and 7, 2014 (Violating Economic Sanctions, Attorney-Client Privilege, EU Non-Recognition of US CCPs, Spec Limits)
Categories: Bridging the Week, Compliance Weeds
Published Date: July 06, 2014
Bridging the Week by Gary DeWaal: May 12 to 16 and 19, 2014 (HFT on a Big Stage; LIBOR Redux; Reefer Madness Investments)
Categories: Bridging the Week, Compliance Weeds, My View
Published Date: May 18, 2014
Bridging the Week by Gary DeWaal: May 5 to 9 and 12, 2014 (Exempt DCOs; O'Malia: Futures Markets Not Rigged; Deregulation)
Categories: Bridging the Week, Compliance Weeds, My View, News Developments
Published Date: May 11, 2014
Bridging the Week by Gary DeWaal: April 28 to May 2, and May 5, 2014 (Exchanges Must Also Comply with SEC Rules; More EFRP and Block Trades Fallout)
Categories: Bridging the Week, Compliance Weeds
Published Date: May 04, 2014
Bridging the Week by Gary DeWaal: April 21 to 25 and 28, 2014 (More Flash Boys and Old Rogue Trading Fallout)
Categories: Bridging the Week, Compliance Weeds
Published Date: April 27, 2014
Gary DeWaal’s Bridging the Week April 14 to 18 and 21, 2014 (MF Global Private Litigation Trudges Along; CME EFRPs, Cyber Security)
Categories: Bridging the Week, Compliance Weeds, High Frequency Trading
Published Date: April 20, 2014
Lord Voldemort Hovers Over the Futures Industry: CME Prohibits All Transitory Exchange of Futures for Related Positions by Name
Categories: Compliance Weeds, News Developments, Between Bridges
Published Date: April 14, 2014
Gary DeWaal’s Bridging the Week April 7 to 11 and 14, 2014 (Futures Law Potential Overhaul; Bank Capital Treatment for Clearinghouse Exposure Clarified)
Categories: Bridging the Week, Compliance Weeds, My View, Totally Irrelevant (But Is It?)
Published Date: April 13, 2014

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ABOUT GARY DEWAAL

Gary DeWaal

Gary DeWaal is currently Special Counsel with Katten Muchin Rosenman LLP in its New York office.

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RECENT POSTS

Bridging the Week has moved.
September 17, 2014
Bridging the Week by Gary DeWaal: September 1 to 5 and 8, 2014 (Banks Are the Big News; MF Global; Investment Advisor Conflicts; ISDAfix)
September 07, 2014
Between Bridges by Gary DeWaal: CME Group Issues New Rule Regarding Disruptive Trading Practices
September 04, 2014
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IN THE SPOTLIGHT

Recreating the FCM Business (FIA Boca Conference)

March 13, 2014

CME Fines Traders for Transactions that Worried Regulators (Reuters)

February 25, 2014

Report Casts Doubt on Insurance Plan for Futures Brokers (FT.com)

November 15, 2013

CFTC Likely to Charge MF Global Execs Beyond Corizine: Legal Experts (Reuters)

June 25, 2013

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Gary DeWaal
Katten Muchin Rosenman
575 Madison Avenue
New York 10022-2585

1 (212) 940-6558

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