Regulatory Compliance Association Reviews

Accredited Faculty

Government Officials & Regulators

Roel Campos, JD, Partner – Head of Securities, Regulation and Enforcement, SEC Commissioner*
Paul Atkins, JD, CEO, Partner, Patomak Global Partners, SEC Commissioner*
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
James Burns, JD, Partner, Wilkie, Farr & Gallagher LLP, 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, 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 Investment Management
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 Counsel, 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

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 Office and General Counsel, Serengeti Asset Management
Scott Beechert, JD, General Counsel & CCO, Bennett Management Corporation
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
Cynthia Marian, JD, LLM, General Counsel & CCO, Paragon Advisors Corporation
John Oliva, Global Head of Asset Management, JP Morgan Advisors
John Roth, JD, LLM, VP & CCO, Nassau Financial Group
Joshua Rozenberg, CPA, Assistant Controller, 40 North Management LLC
Michael Sheehy, JD, Sr. VP & CCO, CoreCommodity Management
Steven Yadegari, JD, EVP & General Counsel, Cramer Rosenthal McGlynn

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

 

*  Former