Slide LUIS AGUILAR, LLM, Commissioner, SEC (Former)

“With its 78,000 members, RCA efforts have a powerful impact…The RCA’s CCE® (Continuing Compliance Education) and their CRC™ (Chartered Regulatory Counsel)™ professional examination for alternative investment and asset management firms is important and I commend its efforts.”
Slide PAUL ATKINS
JD, Commissioner, SEC (Former)

“In a time of great regulatory change and uncertainty, RCA provides the only, broad-based, accredited curriculum for executives in the asset management sector. The RCA’s CCE® (Continuing Compliance Education) keep executives abreast of developments that have profound implications for their business strategy and organization, as well as for their own personal careers.”
Slide Roel Campos, JD, Commissioner, SEC (Former)

“RCA’s CRC™ (Chartered Regulatory Counsel)™ professional examination and its Executive LLM and Masters of Science in Regulation and Compliance are essential for executives in alternative investment and asset management space. The RCA collected the top experts to deliver the only graduate-level education to industry professionals…beyond the horizon. They are the best.”
Slide Daniel Driscoll, CPA, EVP & COO, National Futures Association

“I very much enjoy participating on the faculty for the RCA’s CCE® (Continuing Compliance Education), Executive LLM and Masters of Science and professional examinations. The curriculum is the most topical and the faculty is excellent.”
Slide
Mark Polemeni, JD, CCO, CCO & Associate GC, Perella Weinberg

“The RCA continues to distinguish itself by offering CCE® (Continuing Compliance Education), executive degrees and professional exams that feature the leading authorities of our industry as well as government officials that are shaping the policies of tomorrow.”
Slide Doug Anderson, JD, CCO, Canyon Partners

“The RCA’s Executive LLM and Masters of Science in Regulation and Compliance as well as CRC (Chartered Regulatory Compliance™) professional examination are light years better than the Wharton Program – especially the highly practical content. RCA courses dive into what compliance officers do on a daily basis…it is the go-to resource.”
Slide Judge Barrington Parker, JD, US Court of Appeals Second Circuit

“No organization contributes more to the intelligent and efficient operation of this nation’s capital markets than the RCA. The scope, diversity and quality of their programs is extraordinary. No one does as much as this organization does and no one does it quite so well. The RCA’s broad membership includes alternative investment and asset management firms, lawyers and government regulators from around the globe. Many old friends from the SEC and the CFTC use their curricula and certification programs.Their recognition of the RCA is a testament to the importance of this organization and to the quality and effectiveness of the work that it does.”
Slide Robert VanGrover, Partner, Seward & Kissel

“I attend or speak at RCA CCE® (Continuing Compliance Education)® programs because there are a serious number of our clients there and a serious number of Seward and Kissel alumni.”

Accredited Faculty

RCA Accredited Faculty includes:

Government Officials & Regulators

Walter Zebrowski, JD, CPA, Chairman, Regulatory Compliance Authority
Hester Peirce, Commissioner, SEC
Paul Atkins, JD, Founder, Potomac Global, Commissioner, SEC *
Roel Campos, JD, Partner, Hughes Hubbard & Reed, Commissioner, SEC *
Troy Paredes, JD, Founder, Parades Strategies LLC, Commissioner, SEC *
Thomas Sexton, JD, CEO, National Futures Association
Daniel Driscoll, CPA, EVP & COO, National Futures Association
Regina Thoele, SVP, of Compliance, National Futures Association
Patricia Cushing, CPA, CFE, CRCP, Director, Compliance, NFA
Adam Wasserman, JD, Head of Enforcement, New York Stock Exchange
Adam Aderton, JD, Co-Chief AMU, Division of Enforcement, SEC
Jennifer Duggins, Co-Head Private Funds Unit, Division of Exams, SEC
Daniel Kahn, JD, Chief, FCPA Unit, US DOJ
Kevin Kelcourse, JD, Assistant Regional Director, SEC
Lois LaLonde, Senior Enforcement Advisor, US DOL, EBSA
Tim O’Brien, Supervisory Special Agent, FBI
Harry Wedewer, JD, Associate Director, CFTC
Cheryl Tulino, JD, Director, NFA

RCA Sr. Fellows from Practice

 

Doug Anderson,  JD, COO, Canyon Partners
Anthony Artabane, CPA, Partner, PWC (retired)
Marc Baum, JD, Advisor, Pacific Road Capital Management
Larry Block, JD, Managing Director, Counsel & CCO, Island Capital Group
John Buretta, JD, Partner, Cravath, Swaine & Moore
Drew Chapman, LLM, Partner, Baker Botts
Michael Cyran, Partner, EY
Natalie Deak-Jaros, CPA, Partner, EY
Janine Diljohn, JD, CCO, HQ Capital
Steven Felsenthal, JD, GC & CCO, Millburn Ridgefield Corporation
Lucy Frew, Partner, Walkers, Cayman Island Office
Nathan Greene, JD, Partner, Sidley Austin
James Hartmann, President, MSU Consulting Corp
Ki Hong, JD, Partner, Skadden, Arps
Bruce Kahne, JD, Senior Managing Director, Global GC & CCO, EnTrust Global
Beth Kaiser, Director – Investment Performance Standards, CFA Institute
Anthony Kelly, JD, Partner, Dechert
Dov Lando, JD, GC, Boothbay Fund Management
Michael Loesch, JD, Partner, Baker Botts
Cynthia Marian, Esq, Shareholder, Greenberg Traurig
Ralph Mitti, Principal, EY
Daniel New, CPA, Executive Director, EY
Andrew Oringer, JD, Partner, Dechert
Mark Perlow, JD, Partner, Dechert
Ingrid Pierce, LLB, Partner, Walkers Global
Mark Polemeni, JD, CCO & CRO, Perella Weinberg Partners
Matt Queler, JD, Principal, Deloitte
Michael Renetzky, JD, Partner, Lockelord
Terence Rozier-Bryd, JD, Partner, Baker Botts
Daniel Ryea, JD, Senior Manager, EY
Robert Saperstein, JD, Global Head of Compliance and Sr Counsel, Guggenheim Partners
Salvatore Scotto, SVP, Head of Sanctions, Bank of China
Scott Sherman, JD, GC, Tiger Management
Martin Schwartz, JD, CPA, CCO, Millennium Management
Catherine Smith, JD, GC, Guidepoint LLC
Richard Swanson, JD, CLO, York Capital Management
Heather Traeger, JD, GC & CCO, Teacher Retirement System of Texas
Brain Traficante, JD, GC, York Capital Management
Robert Van Grover, JD, Partner, Co-Head AMG, Seward & Kissel
Jason Wachtel, Managing Partner, JW Michaels
Christopher Wells, JD, Partner, Proskauer Rose
Steven Yadegari, JD, EVP, COO & GC, Cramer Rosenthal McGlynn

Faculty

Alyssa Albertelli, JD, CCO, SVP, Fidelity
Jonathan Anbacher, CPA, Partner, EY
Scott Beechert, GC & COO, Granby Capital Management
Scott Black, JD, GC & CCO, Hudson Bay Capital
John Brose, LLM, Partner, Seward & Kissel
James Burns, Partner, Wilkie Farr and Gallagher
George Canellos, JD, Partner, Milbank
Brian Cartwright, PhD, JD, Potomac Global Partners
Heloisa Chaney, Partner, COO, 400 Capital Management
Rory Cohen, JD, GC, Varadero Capital
Michael Considine, JD, Partner, Seward & Kissel
Halit Coussin, LLM, CLO, Pershing Square
Annmarie Croswell, JD, Deputy CCO, Millennium Partners
Andrew Donahoe, JD, Of Counsel, Shearman & Sterling
Paula Drake, JD, GC, HarbourVest
David Fitzgerald, JD, GC & CCO, Gabelli Securities
Sandra Forman, Deputy CCO, Stone Point Capital
Ben Gruenstein, JD, Partner, Cravath, Swaine & Moore
Richard Horowitz, JD, Partner, Dechert
Julie Jack, JD, VP, CCO, Chilton Investment Company
Mark Kaplan, JD, CCO, Cantor Fitzgerald
Irshad Karim, JD, CCO, Lion Point Capital
Thomas Kennedy, JD, CCO, Bessemer Trust
Orly Lax, JD, GC, SSC
Moshe Luchins, JD, CCO, Zweig-DiMenna Associates
Matthew Lux, Managing Director, EnTrust Global
Nauman Malik, JD, GC & CCO, Eagle Point
Justin Mandel, Managing Director, JW Michaels & Co
Tara McCarthy, Sr Counsel & Director of Compliance, Nitorum Capital
Karrie McMillan, JD, Managing Director, Potomac Global Partners
Helane Morrison, JD, GC & CCO, Hall Capital
Jordan Nault, Global Leader, Mercer
Michael Osnato, JD, Partner, Simpson Thatcher
Robin Painter, JD, Partner, Proskauer
Charles Park, JD, CCO, Blackrock
Bruce Paulsen, JD, Partner, Seward & Kissel
Jim Plohg, JD, CCO, Ashford
Scott Pomfret, JD, Regulatory Counsel, CCO, Soleil Capital Partners
Lisa Roitman, JD, GC, Pollen Street Capital
John Roth, JD, EdD, Counsel & CCO, Nassau Asset Management
Joshua Rozenberg, CPA, Assistant Controller, 40 North Management
Kirk Rule, JD, CCO, JP Morgan Alternative Asset Management
Kurt Schacht, JD, Managing Director, CFA Institute
Katie Schuhow, Partner, Audit, RSM
Jeffrey Schultz, JD, GC & CCO, Navy Capital
Dorothy Scott, Partner, Walkers
Michael Sheehy, JD, CCO, Core Commodity Management
Michael Sherman, JD, Partner, Dechert
Steven Spencer, JD, GC, Siris Capital
Scott Weisman, JD, LM, Managing Director, Bain Capital

 

Terms and Conditions

Tuition Fees and Payments (hereinafter referenced as Fees):

Please make checks or money orders payable to the “Regulatory Compliance Association”.

Fees for ALL curricula and sessions are non-refundable.

Should you register for a curriculum or session, and experience a conflict, the RCA will provide you with a 50% refund you may apply to any on-demand service.

Cancellations and Substitutions:

For reasons beyond our control, it may be necessary to alter the programmatic content, timing or date of a curriculum or session, as well as members of the speaking faculty or guest lecturers. Therefore, the speaking faculty, guest lecturers, curriculum and sessions (including the timing and date thereof) are subject to change without notice.

Force Major Event

In observance of the above, in the case of a Force Major Event (Act of God) or an unforeseen occurrence beyond our control, the RCA shall endeavor to reschedule the respective curriculum or session.  Please note that the RCA, its affiliate law schools, Endowing Organizations, speaking faculty, guest lecturers, directors, officers, nor personnel accept responsibility for the above or travel and/or accommodation cost or consequential losses incurred by prospective student, delegate or the like as a result of any such cancellation or rescheduling.