Regulatory Compliance Association Reviews

Speaking Faculty

LOCATION: New York Marriott Marquis
DATE: November 2, 2016


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


Roel Campos, JD, Commissioner, SEC**
Paul Atkins, JD, Commissioner, SEC **
Troy Paredes, JD, Commissioner, SEC **
Daniel Driscoll, CPA, COO, National Futures Association
Prashanth Mekala, Special Agent, Cyber Division, FBI
Regina Thoele, Senior Vice President, National Futures Association
Jane Stafford, JD, General Counsel, Regulatory Compliance Association
Michael Osnato, JD, Chief – CFI Unit, SEC*
Christopher Hetner, Cybersecurity Lead, OCIE, SEC*
Brian Caravello, JD, Examination Manager, Private Funds Unit, OCIE, SEC*
Jonathan Boersma, CFA, Director, CFA Institute


Top Alternative Investment and Asset Management Firms:
Lawrence Block, JD, Managing Director, Counsel, CCO, Island Capital Group
James Capezzuto, JD, CCO, Oppenheimer Asset Management
Rory Cohen, JD, General Counsel, Varadero Capital
Molly Diggins, JD, General Counsel, Monument Group
Steven Felsenthal, JD, General Counsel, CCO & Principal, Millburn Ridgefield
Helene Glotzer, JD, Chief Compliance Officer, Bridgewater Associates
Bruce Kahne, JD, Partner, General Counsel & CCO, EnTrustPermal
Cynthia Marian, JD, LLM, GC & CCO, Civic Capital Advisors
Helane Morrison, JD, General Counsel, & CCO, Hall Capital Partners
Michael Neus, JD, Managing Partner & GC, Perry Capital
Nimna Varghese, CA, CFE, Senior Manager, Advisory Services, EY
Mark Polemeni, JD, CCO & Associate GC, Citadel
Scott Pomfret, JD, Regulatory Counsel & CCO, Highfields Capital
John Roth, JD, LLM, General Counsel & CCO, Venor Capital Management
Martin Schwartz, CPA, JD, CCO, Millennium Partners
Jasmin Sethi, JD, VP, BlackRock
Michael Sheehy, JD, CCO, Core Commodity Management
Richard Swanson, JD, General Counsel, York Capital Management
Heather Traeger, JD, CCO & Compliance Counsel, TRST
Nicholas Tsoudis, CCO, Ivesco Private Capital
Steven Yadegari, JD, General Counsel, Cramer Rosenthal McGlynn


Blue Chip Industry Executives:
Robert Van Grover, JD, Partner, Seward & Kissel
Anne Patin, JD, Partner, Seward & Kissel
Drew Chapman, JD, Partner, King & Spalding
Terence Healy, JD, Partner, Hughes Hubbard & Reed LLP
Mark Perlow, JD, Partner, Dechert
Karl Egbert, JD, Partner, Dechert
Kiernan Bell, LLB, Managing Partner, Appleby
Ingrid Pierce, LLB, Managing Partner, Walkers
Jennifer Eve, LLB, Senior Attorney, Appleby
Catherine Smith, JD, General Counsel, Guidepoint Global
Ronald Nixon, Deputy Director Cybersecurity and CTO, NES Associates
Darren Wray, CEO, Fifth Step

* Guest Lecturer
** Former