Regulatory Compliance Association Reviews

Speaking Faculty & Guest Lecturers

Regulators

Luis Aguilar, JD, LLM, Commissioner, SEC*
Barton Chilton, Commissioner, CFTC**
Roel Campos, JD, Commissioner, SEC**
Paul Atkins, JD, Commissioner, SEC**
Troy Paredes, JD, Commissioner, SEC**
Kathleen Casey, JD, Commissioner, SEC**
Kevin O’Connor, JD, Associate Attorney General, U.S. DOJ* (Emeritus)
The. Hon. Barrington Parker, JD, US Circuit Judge, US Court of Appeals Second Circuit
Daniel Roth, JD, President & CEO, National Futures Association
Daniel Driscoll, CPA, EVP & COO, National Futures Association
Stephen Luparello, JD, Director, Trading & Markets, SEC *
Andrew Bowden, JD, Director, OCIE, SEC**
Norman Champ, JD, Director, Division of IM, SEC**
Aitan Goelman, JD, Director, Head of Enforcement, CFTC
Daniel Hawke, JD, Chief, Market Abuse Unit, SEC**
Kara Brockmeyer, JD, Chief of FCPA Unit, SEC*
Julie Riewe, JD, Co-Chief, AMU, SEC*
Matt Queler, JD. Assistant Chief, FCPA Unit, US DOJ
Andrew Calamari, JD, Regional Director, SEC*
Ken Joseph, JD, Associate Director, NYRO, SEC*
Elcin Yildirim, PhD, Assistant Director, Quantitative Analytics Unit, SEC*
Anthony Kelly, JD, Assistant Director, Division of Enforcement, SEC*
Regina Thoele, Senior Vice President, National Futures Association
Patricia Cushing, CPA, Director of Compliance, National Futures Association
Jonathan Kay, JD, Regional Director, NYRO, Department of Labor
Timothy O’Brien, Supervisory Special Agent, FBI
David Chaves, JD, New York Supervisory Special Agent, FBI
Carlo di Florio, JD, EVP, Risk Strategy, FINRA
Erozan Kurtas, PhD, Head of Advanced Data Analytics & SVP, FINRA
Kurt Schacht, JD, Managing Director, Chartered Financial Analyst Institute
Adam Wasserman, JD, Head of Enforcement, NYSE Regulation
Meyer Eisenberg, JD, Senior Research Scholar, Columbia Law School

Top Institutional Investors, Alternative Investment and Asset Management Firms, and Financial Institutions

Heather Traeger, JD, CCO, Teachers Retirement System of Texas
Scott Pomfret, JD, CCO, Highfields Capital
Mark Polemeni, JD, CCO & Associate GC, Citadel Investment Group
Simon Lorne, JD, Vice Chairman & CLO, Millennium Partners
Martin Schwartz, JD, CPA, CCO, Millennium Partners
Doug Anderson, JD, CCO, Canyon
Adam Schreck, JD, GC, Discovery Capital Management
Nir Messafi, CPA, CFO, Fortress-Liquid Markets
Glyn Clark, CCO, Permal Investment Management Services
Eric Zielinski, CPA, CAIA, Deputy CAO – Equities, UBS Global Asset Management
John Oliva, CCO, Highbridge Capital Management
Richard Gruber, JD, CCO, Visium Asset Management
Brian Guzman, JD, Partner & GC, Indus Capital Partners
Beth Haddock, JD, Head of Regulatory Strategy and Developments, Guggenheim Partners
Michael Neus, JD, GC & Partner, Perry Capital
Steven Felsenthal, JD, GC, CCO, Millburn Ridgefield
Marc Baum, JD, CAO & GC, Serengeti
Matthew Siano, JD, GC, Two Sigma Investments
James Hartmann, CCO, Fixed Income Division, Prudential Investment Management
Brian Traficante, JD, SVP, York Capital
Daniel Margolis, JD, GC, Ellington Management
Danielle Green, JD, CCO, Harbourvest Partners
Forest Wolfe, JD, GC, Angelo, Gordon & Co
Helane Morrison, JD, GC, & CCO, Hall Capital
Bruce Karpati, JD, Global CCO, KKR
Larry Block, JD, CCO, Island Capital
Leslie Lake, Managing Member, Invus Financial Advisors
Thomas Kennedy, JD, CCO, Arden Asset Management
Tanya Kerrigan, JD, GC & CCO, Boston Advisors
Cynthia Marian, JD, GC & CCO, Civic Capital Advisors
Kat Olin, JD, CCO, Indus Capital Partners
Jim Plohg, JD, GC & CCO, Ashford
Marc Seidenberg, JD, GC & CCO, Basso Capital Management
Steven Yadegari, JD, GC, Cramer Rosenthal McGlynn
Charles Park, JD, CCO, BlackRock
Julie Jack, JD, CCO, Chilton Investment Company
Brendan Kalb, JD, GC, AQR Capital
Scott Sherman, JD, Managing Director, Blackstone
John Hornbostel, JD, Associate General Counsel, Franklin Templeton
Nicole Tortarolo, JD, Executive Director, Alternative Investments, UBS
David Warsoff, Executive Director, J.P. Morgan Alternative Asset Management
Moshe Luchins, JD, Chief Compliance Officer and Deputy General Counsel, Zweig-DiMenna
John Roth, JD, LLM, GC & CCO, Venor Capital Management
Bruce Kahne, JD, GC & CCO, EnTrust Capital
Thomas Larkin, CPA, CFO, Avenue Capital
HJ Wilcox, JD, CCO, AQR
Alyssa Albertelli, JD, CCO, State Street Global Advisors
Barbara Keller, JD, Deputy CCO, Nomura Asset Management
Noah Greenhill, JD, GC – Alternative Funds, JP Morgan
Josh Rozenberg, CPA, Assistant Controller, Visium Asset Management
Michael Sheehy, JD, CCO, CoreCommodity Management
Timothy Barefield, COO, Pershing Square
Mark Schein, JD, CCO, York Capital
Jeffrey Schultz, JD, CLO & CCO Phoenix Investment
Michael Schwenk, JD, GC & CCO, NWI Management
John Thomas, CPA, Managing Director, BNY Mellon Asset Management
Joseph Tylicki, CPA, CFO, Stark Investments
Salvatore Scotto, Head of Sanctions, Financial Crime Compliance, HSBC Bank

Leading International Law Firms

Robert Van Grover, JD, Partner, Seward & Kissel
Bruce Paulsen, JD, Partner, Litigation, Seward & Kissel
Patricia Poglinco, JD, Partner, Seward & Kissel
Joseph Morrissey, JD, Partner, Seward & Kissel
Richard Rosenfeld, JD, Partner Mayer Brown
Robin Painter, JD, Partner, Proskauer
Christopher Wells, JD, Partner, Proskauer
Beth Kramer, JD, Partner, Chadbourne Park
Michael Renetzky, JD, Partner, LockeLord
Drew Chapman, JD, LLM, Partner, King & Spalding
William Johnson, JD, Partner, King & Spalding
Matthew Eisenberg, JD, Partner, Finn Dixon & Herling
George Mazin, JD, Partner, Dechert
Kathleen Massey, JD, Partner, Dechert
Andrew Oringer, JD, Partner, Dechert
Kevin Scanlan, JD, Partner, Dechert
Mark Perlow, JD, Partner, Dechert
Nathan Greene, JD, Partner, Shearman & Sterling
Andrew Levine, JD, Partner, Debevoise
Tim Clark, JD, Partner, O’Melveny & Meyers
Matthew Rossi, JD, Partner, Mayer Brown
Ki Hong, JD, Partner, Skadden
John Buretta, JD, Partner, Cravath
Kiernan Bell, LLB, Managing Partner, Appleby
Ingrid Pierce, LLB, Managing Partner, Walkers
Richard Kilbride, JD, Partner, Finn Dixon & Herling
Jeff Plotkin, JD, Partner, Finn Dixon & Herling
Elizabeth Denman, Partner, Conyers Dill & Pearman
Tim Mungovan, JD, Partner, Proskauer
Ronald Wood, JD, Partner, Proskauer
Andrew Fish, JD, Partner, LockeLord
Reed Brodsky, JD, Partner, Gibson Dunn
Mark Whatley, JD, Partner, Sidley Austin
George Canellos, JD, Partner, Milbank Tweed
Kenneth Berman, JD, Partner, Debevoise & Plimpton
David Brummond, Of Counsel, DLA Piper US
Scott Naidech, JD, Partner, Chadbourne & Park
Benjamin Gruenstein, Partner, Litigation, Cravath
Paul Miller, JD, Partner, Seward & Kissel
Ashley Gunning, LPC, Partner, Walkers
Dawn Howe, Partner, Walkers Global
Richard Horowitz, JD, Partner, Dechert
Michael Padarin, Partner, Investment Funds Group, Walkers
Dorothy Scott Crumbley, Partner, Walkers

Top International Assurance Services Firms and Consultancies

Ralph Mittl, Principal, EY
Samer Ojjeh, Principal, EY
Michael Serota, CPA, Partner, EY
Daniel New, CPA, Executive Director, EY
James Suglia, Principal, US Advisory Sector Leader, KPMG
Chris Mears, CPA, Partner, National Practice Leader-Hedge Funds, KPMG
John Schneider, Partner, KPMG
Jeffrey Kollin, Principal, KPMG
Tom Biolsi, Principal, PwC** (Emeritus)
Anthony Artabane, CPA, Managing Member of Anthony Artabane CPA, PLLC, PwC**
Anthony Conte, Principal, Financial Services Advisory, PwC
Michael Cyran, CPA, Partner, EY
Natalie Deak-Jaros, CPA, Partner, EY
Rudy Escalante, Chief Executive Officer, ICSA Software North America
Catherine Smith, JD, General Counsel, Guidepoint Global
Jaimie Kahan, Principal, EY
Jessel Mendes, Principal, EY
Chris Maiato, Principal, EY
Jeffrey Short, CPA, Partner, EY
Jonathan Ansbacher, CPA, Partner, EY
Jesse Shapiro, CPA, Partner, EY
Michael Mannisto, CPA, Partner, EY
Craig Redcliffe, Partner, EY
Jun Li, CPA, Partner, EY
Alex Johnson, CPA, Partner, EY
Scott Zimmerman, CPA, Partner, EY
Daniel Bender, Executive Director, EY
Keith Caplan, Executive Director, EY
Amanda Miller, PhD, Executive Director, EY
John Sampson, Executive Director, EY
Michael Barnes, Senior Manager, EY
Michael Sakala, Senior Manager, EY
Steve Pulkowski, CPA, Senior Manager, EY
James Kickham, Senior Manager, EY
Jason Brenier, PhD, Senior Manager, EY
Cathy Hasenzahl, JD, Senior Manager, EY
Michael Krause, Senior Manager, EY
Howard Altman, CPA, Partner, KPMG
Gary Berger, CPA, Partner, KPMG
Frank Attalla, CPA, Partner, KPMG
Mark McKeever, CPA, Director, KPMG
Kevin Goldstein, Director, KPMG
Kevin Bandoian, CPA, Partner, PwC
Kent Knudson, CPA, Director, PwC
Elizabeth Crotty, JD, Director, PwC
Michael Corcione, Director, PwC
John Hague, Partner, FS Industry Leader, RSM
Karrie McMillan, JD, Managing Director, Patomak Global Partners
Bryan Morris, CPA, Partner, Deloitte

* Guest Lecturer
** Former