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

CCE Events Faculty has included in 2021:

Government Officials & Regulators

Daniel Driscoll, CPA, EVP & CCO, NFA
Adam Wasserman, JD, Head of Enforcement NYSE Regulation, Inc.
Patricia Cushing, CPA, Director, Compliance, NFA
Adam Aderton, JD, Co-Chief of the Division of Enforcement/Asset Management Unit, SEC
David Metzman,  JD, Senior Policy Advisor, Division of Trading & Markets, SEC
Carlo Di Florio, JD, LLM, Global Chief Services Officer, ACA Compliance Group, Chief Risk Officer, Head of Strategy, FINRA*
Lois LaLonde, Supervisory Benefits Advisor, Acting Regional Director, US Department of Labor, Employee Benefits Security Administration
Seth Taube, JD, Senior Partner, Baker Botts, Branch Chief of Enforcement NY, SEC*

RCA Course Authors

Robert Saperstein, JD, Sr. Managing Director, Global Head of Compliance, & Senior Counsel, Guggenheim Partners
Heather Traeger, JD, CCO and Compliance Counsel, Teacher’s Retirement System of Texas
Simon Lorne, JD, Vice Chairman & CLO, Millennium Partners
Richard Swanson, JD, Committee Chair,  Chief Legal Officer, York Capital Management
James Hartmann, CCO, Arena Investors LP
Beth Kaiser, Director – Investment Performance Standards, CFA Institute
Rob Jee, JD, Sr. Managing Director & Senior Counsel, CCO, Guggenheim Partners Investment Management
Brian Traficante, JD, General Counsel, York Capital Management
John Buretta, JD, Partner, Cravath, Swaine & Moore LLP U.S. DOJ*

Senior Fellows

Steven Felsenthal, JD, LLM, General Counsel, CCO & Principal, Millburn Ridgefield
Bruce Kahne, JD, Partner, General Counsel & CCO, EnTrustPermal
Michael Neus, JD, General Counsel, ExodusPoint Capital Management
Mark Polemeni, JD, Partner, CCO & CRO, Perella Weinberg Partners
Steven Yadegari, JD, EVP & General Counsel, Cramer Rosenthal McGlynn

Faculty

Mark Kaplan, JD, Senior Managing Director & Chief Operating Officer, Cantor Fitzgerald
Larry Block, JD, Managing Director, Counsel & CCO, Island Capital Group
Kip Allardt, Global Relationship Manager, Discovery Capital Management
Marc Baum, JD, Chief Administrative Officer and General Counsel, Serengeti Asset Management
Rory Cohen, JD, General Counsel & Secretary, Varadero Capital
David Fitzgerald, JD, General Counsel & CCO, Gabelli & Company Investment Advisers
Sandra Forman, JD. General Counsel & CCO, Hudson Companies
Irshad Karim, JD, General Counsel & CCO, Lion Point Capital
Dov Lando, General Counsel & CCO, Crawford Lake Capital Management
Moshe Luchins, JD, CCO & Deputy General Counsel, Zweig-DiMenna Associates LLC
Scott Beechert, General Counsel & Chief Compliance Officer, Bennett Management
Cynthia Marian, JD, LLM, Special Counsel to Fried Frank, Alternative Investments Practice
Whit Clay, Co-CEO, Sloane & Company
John Roth, JD, LLM, VP & CCO, Nassau Financial Group
Michael Sheehy, JD, Sr. VP & CCO, CoreCommodity Management
Lisa Roitman, JD, General Counsel, Pollen Street Capital (US) LLC
Shannon Horton, Partner and Head of West Coast, Optima Partners

Service Providers

Robert Van Grover, JD, Partner, Seward & Kissel
Lucy Frew, LLM, Partner, Walkers Global
Catherine Smith, JD, GC, Guidepoint Global
Drew Chapman, JD, Partner, Baker Botts, LLB
Terence Rozier-Bryd, JD, Partner, Baker Botts, LLB

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.