Regulatory Compliance Association Reviews

Speaking Faculty

LOCATION: New York Marriott Marquis
DATE: November 7, 2017

SYMPOSIUM TUITION FOR REGISTRATION BEFORE OCTOBER 1, 2017

Standard Registration: $1,098
Subsidized Registration: $898 
PracticEdge Members: $598
RCA myUniversity: Complimentary (Contact Your Curriculum Advisor)

 

Regulators:
Congresswoman Carolyn B. Maloney (NY-12)
Thomas DiNapoli, New York State Comptroller
Luis Aguilar, JD, Commissioner, SEC**
Roel Campos, JD, Commissioner, SEC**, Partner, Hughes, Hubbard & Reed
Troy Paredes, JD, Commissioner, SEC **
Daniel Driscoll, CPA, COO, National Futures Association
Christopher Hetner, Cybersecurity Lead, OCIE, SEC*
Regina Thoele, Senior Vice President, National Futures Association
Patricia Cushing, CPA, Director, Compliance, NFA
Adam Wasserman, Head of Enforcement, NYSE Regulation, Inc.
Majid Mahmood, Examination Manager, OCIE, SEC

 

Top Alternative Investment and Asset Management Firms:
Lawrence Block, JD, Managing Director, Counsel, CCO, Island Capital Group
Rory Cohen, JD, General Counsel, Varadero Capital
Steven Felsenthal, JD, LLM, GC, CCO & Principal, Millburn Ridgefield
David Fitzgerald, JD, GC & CCO, Gabelli Securities
Catherine Courtney Gordon, JD, Prudential
Moshe Luchins, JD, Deputy GC & CO, Zweig-DiMenna Associates LLC
Irshad Karim, JD, Counsel & CCO, Lion Point Capital
Brendan Kalb, JD, Managing Director & GC, AQR Capital Management
Simon Lorne, CPA, Vice Chairman & CLO, Millennium Partners
Michael Sheehy, JD, CCO, Core Commodity Management
Richard Swanson, JD, General Counsel, York Capital Management
Heather Traeger, JD, CCO & Compliance Counsel, TRST
AnnMarie Croswell, JD, Deputy CCO, Millennium Partners
John Oliva, CCO & Managing Director, Highbridge Capital Management
James Hartmann, JD, CCO, Arena Investors
Alyssa Albertelli, JD, CCO, SVP, State Street Global Advisors
Helene Glotzer, CCO, Bridgewater Associates LP
Beth Haddock, JD, Founder & Principal, Warburton Advisers
Janine Diljohn, JD, CCO, HQ Capital
Sandra Forman, JD, Senior Counsel & CCO, Registered Funds, NorthStar Asset Management Group
Kirk Rule, JD, CCO, J.P. Morgan Alternative Asset Management, Inc.
(Former General Counsel & CCO*)

 

Blue Chip Industry Executives:
Beth Kaiser, Director- Investment Performance Standards, CFA Institute
Robert Van Grover, JD, Partner, Seward & Kissel
Matthew Eisenberg, JD, Partner, Finn Dixon & Herling
Sandra Poe, JD, Partner, Hughes Hubbard & Reed
Ingrid Pierce, LLB, Managing Partner, Walkers
Lucy Frew, LLB, Partner, Walkers Global
Drew Chapman, JD, Partner, King & Spalding
Beth Kramer, JD, Partner, Winston & Strawn
Julie Riewe, JD, Partner, Debevoise
Catherine Smith, JD, GC, Guidepoint Global
Joseph Davidsohn, CEO, Reguliant

* Guest Lecturer
** Former