Regulatory Compliance Association Reviews

Speaking Faculty

Enforcement, Compliance & Operations (ECO) – New York 2016™

Carlo diFlorio a

DATE: MAY 17TH, 2016


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

Accredited Symposium Speakers

Tracey McDermott, Acting CEO, Financial Conduct Authority (FCA)
Stephen Luparello, JD, Director of Trading and Markets Division, SEC*
John Buretta, JD, Principal Deputy Assistant Attorney General, U.S. DOJ**
Jonathan Kay, JD, Regional Director, NY Regional Office Department of Labor
Michael Osnato, JD, Chief of Complex Financial Instruments, Enforcement Division, SEC*
Anthony Kelly, JD, Co-Chief, Enforcement Division’s Asset Management Unit, SEC+
Adam Wasserman, JD, Head of Enforcement, NYSE
Christopher Hetner, CPA, Cybersecurity Lead, SEC*
Timothy O’Brien, Supervisory Special Agent, FBI
Jennifer Duggins, Senior Specialized Examiner, Co-Head Private Funds Unit, OCIE, SEC
Elcin Yildirim, PhD, Assistant Director, Head of Quantitative Analytics Unit, SEC*
James Burns, JD, Deputy Director, Division of Trading & Markets, SEC**
David Blass, JD, Chief Counsel and Assoc Director, Division of Trading and Markets, SEC** General Counsel, ICI
Beth Kaiser, Director – Investment Performance Standards, CFA Institute

Top Alternative Investment and Asset Management Firms:
Martin Schwartz, JD, CPA, CCO, Millennium Management, LLC
Mark Polemeni, JD, CCO, Associate GC, Citadel, LLC
Mike Neus, JD, General Counsel, Perry Capital
Brendan Kalb, JD, Managing Director & General Counsel, AQR Capital Management
Michael Cohn, JD, CCO & Deputy GC, Fortress
Adam Schreck, JD, General Counsel, Discovery Capital Management
James Capezzuto, JD, CCO & Managing Director, Oppenheimer Asset Management
Halit Coussin, JD, LLM, Chief Legal Officer / CCO, Pershing Square
Scott Black, JD, General Counsel & Chief Compliance Officer, Hudson Bay Capital
David Fitzgerald, JD, General Counsel & CCO, Gabelli Securities
Barbara Keller
, JD, CCO, Nomura
Vincent Molino, VP, Operational Due Diligence, Permal Group
Bradley Ackerman, Global Investment Manager Analysis, Morgan Stanley
Moshe Luchins, JD, Chief Compliance Officer and Deputy General Counsel, Zweig-DiMenna Associates, LLC
Jim Plohg, JD, Chief Compliance Officer, Associate General Counsel, Ashford Investment Management
Michael Sheehy, Chief Compliance Officer, CoreCommodity Management
John Roth, JD, General Counsel & Chief Compliance Officer, Venor
Steven Yadegari, JD, COO & General Counsel, Cramer Rosenthal McGlynn, LLC
Irshad Karim, JD, Counsel & CCO, Lion Point Capital
Simon Raykher, JD, GC, Kepos Capital

Blue Chip Industry Executives:
Matthew Eisenberg, JD, Partner, Finn Dixon Herling
Christopher Wells, JD, Partner, Proskauer
Robert Van Grover, JD, Partner, Seward & Kissel
Matthew Baughman, JD, Partner, Special Matters & Gov Investigations Practice Group, King & Spalding LLP
JP Curran, JD, Head of Commercial Cybersecurity, NES Cyber Group
Armond Rouillard, CTO, Commercial Cybersecurity, NES Cyber Group
Catherine Smith, JD, General Counsel, Guidepoint Global
Ingrid Pierce, LLB, Managing Partner, Walkers
Beth Kramer, JD, Partner, Chadbourne
Timothy Mungovan, JD, Partner, Litigation Department Co-Head Private Investment Funds Group, Proskauer Rose
Rudy Escalante, Chief Executive Officer, ICSA Software North America



* Guest Lecturer
** Former
+ Participating on Faculty of Related PracticEdge Session