Regulatory Compliance Association Reviews

Speaking Faculty

LOCATION: New York Marriott Marquis
DATE: November 3, 2015


Standard Registration: $898
Subsidized Registration: $698 
PracticEdge Members: $398
RCA myUniversity: Complimentary (Contact Your Curriculum Advisor)

The Hon. Barrington D. Parker, JD, U.S. Circuit Judge, U.S. Court of Appeals for the Second Circuit
Andrew Donohue, JD, Chief of Staff, SEC+
Aitan Goelman, JD, Director of Enforcement, CFTC
Daniel Hawke, JD, National Unit Chief, Market Abuse Unit, Division of Enforcement, SEC*
Michael Osnato Jr, JD, Chief, Complex Financial Instruments Unit, Division of Enforcement, SEC
Elcin Yildirim, PhD,  Assistant Director, Quantitative Analytics Unit, SEC*
Jennifer Duggins, Sr. Specialized Examiner & Co-Head Private Funds Unit, OCIE, SEC
Tim O’Brien, Supervisory Special Agent, FBI*
Christopher Hetner, Cybersecurity Lead, Technology Controls Program, OCIE, SEC*
Kurt Schacht, JD, Managing Director, CFA Institute
Michelle Noyes, CAIA, COO, NY AIMA

Top Alternative Investment and Asset Management Firms:
Martin Schwartz, JD, CPA, CCO, Millennium Management
Heather Traeger, JD, CCO & Compliance Counsel, Teachers Retirement System of Texas
Helane Morrison, JD, GC and CCO, Hall Capital Partners
Eric Zielinski, CPA, Deputy CAO – Equities, UBS Asset Management
Mark Polemeni, JD, CCO & Associate GC, Citadel Investment Group
Charles Park, JD, CCO, Managing Director, BlackRock
Matthew Siano, JD, Managing Director & GC, Two Sigma Investments
Michael Neus, JD, GC & Managing Partner, Perry Capital
Beth Haddock, JD, Head of Regulatory Strategy and Developments, Guggenheim Partners
Stephen Mellas, JD, Principal & Head of Operations , AQR Capital
John Roth, JD, LLM, GC & CCO, Venor Capital Management
James Hartmann, CCO, Arena Investors
Julie Jack, JD, VP, Assistant GC & CCO, Chilton Investment Company
Bruce Kahne, JD, Partner & GC, CCO, EnTrust Capital
Michael Sheehy, JD, Senior Vice President, CCO, CoreCommodity Management
Daniel Margolis, JD, GC, Ellington Management
Jeffrey Schultz, JD, Chief Legal Officer, CCO, Phoenix Investment
Lawrence Block, JD, Managing Director, Counsel, CCO, Island Capital Group
Orly Lax, JD, GC & CCO, Crown Sterling
Jordan Nault, Principal, Mercer
Rory Cohen, JD, General Counsel & Secretary, Varadero Capital

Blue Chip Industry Executives:
Robert Van Grover, JD, Partner, Seward & Kissel
Matthew Eisenberg, JD, Partner, Finn Dixon Herling
Christopher Mears, CPA, National Practice Leader-HedgeFunds, KPMG
John Schneider, CPA, Partner, Risk Advisory, KPMG
Jeffrey Kollin, Principal, Alternative Investments, KPMG
Kevin Goldstein, Director, Management Consulting, Alternative Investments Advisory, KPMG
Robert Mirsky, JD, Partner, Global Head of Hedge Funds, KPMG
Andrew Oringer, JD, Partner, Dechert
Richard Horowitz, JD, Partner, Dechert
Kiernan Bell, LLB, Managing Partner, Appleby
Beth Kramer, JD, Partner, Chadbourne & Parke
Catherine Smith, JD, GC, Guidepoint Global
Jeffrey Plotkin, JD, Partner, Finn Dixon Herling


* Guest Lecturer
** Former
+ Invited