Perhaps some chief compliance officers and financial-industry governance professionals are among my friends. But whoever decided to spam me from the Regulatory Compliance Association did a poor job of list selection.

I’m sure that they’re wonderful people, but folks who attend “The Annual Asset Management Thought Leadership Summit: Litigation, Risk Management and Regulatory Reform – An Industry in Transition” aren’t “like-minded.” At least, not if that means belonging to the same profession as yours truly.

From: “Regulatory Compliance Association”
Date: March 26, 2009 3:57:28 PM PDT
Subject: Re-energize your spirits by sharing time with like-minded people

With it being such a volatile market – wouldn’t it be great to spend some time with friends and like-minded people that understand?

The Regulatory Compliance Association Presents:

The Annual Asset Management Thought Leadership>
Litigation, Risk Management and Regulatory Reform – An Industry in Transition

Sheraton Hotel & Towers
811 7th Avenue (53rd Street), New York, NY
Monday, April 20th, 2009

Special Early Bird Registration Pricing

Registration for RCA or NFA Members and Clients of Lowenstein Sandler, SEI, Dechert or Rothstein Kass: $ 145.00

Standard Registration: $ 295.00


First, timely, practical guidance on emerging issues and trends, including:

* Successfully Navigating Your Firm Through an Industry Transition
* The New Paradigm of Investor Requirements and Preferences: Allocators Seek an Alignment of Interests.
* Due Diligence in a Post Madoff Environment: Emerging Best Practices in Response to Escalating Liability
* Fund Investor Litigation: Minimizing Exposure and Maximizing Opportunities
* Compliance Programs and Examinations: A New Dawn for Regulators
* Regulatory Investigations and Enforcement Actions: Priorities Accelerate in a New Era.
* Cocktail Networking Reception

Second, blue chip speaking faculty, including:

Walter Zebrowski, JD, CPA, CIO/COO, Hedgemony Partners
Chairman, Regulatory Compliance Association
Kevin O’Connor, JD, Associate Attorney General, US DOJ*
Joan McKown, JD, Chief Counsel, Division of Enforcement, SEC
Dan Driscoll, CPA, EVP and CCO, National Futures Association
Thomas Biolsi, Associate Regional Director, New York Region, SEC
Virginia Smith, Dept. of Labor, Director of Enforcement, EBSA
Stephen McCaffrey, JD, Senior Counsel for Plans, National Grid Corp.
Desmond Low-Kum, Sr. Mgr., ORM, Stanford Management Company
Howard Altman, CPA, Co-Managing Principal, Rothstein Kass
Arthur Tully, CPA, Partner, Ernst & Young
Martin Schwartz, JD, CPA, CCO, Millennium Partners
Marc Baum, JD, Partner and General Counsel, Offit Capital Advisors
Uzi Rosha, JD, CCO, CarVal Investors
Peter Greene, JD, Partner, Lowenstein Sandler
Marie DeFalco, JD, Partner, Lowenstein Sandler
George Mazin, JD, Partner, Dechert
Roy Gurny, Director & Head of ODD, Ramius
Kip Allardt, COO, CCO, Discovery Funds Management
Mark Polemini, JD, GC & CCO, Alexandra Investment Management
Steven Yadegari, JD, SVP & GC, Cramer Rosenthal McGlynn
Mark Schein, JD, CCO, York Capital
John Thomas, CPA, FVP & SCO, BNY Mellon Asset Management
James Cass, Vice President & Managing Director, SEI
James Tomeo, COO and Senior Portfolio Manager, SSARIS
Ingrid Pierce, LLB (Hons), Partner, Walkers

Third, learn how to use the current market environment and Institutional AlphaT to capture more assets from Sovereign Wealth Funds, Pension Plans, Endowments and Foundations.

To learn more, visit

If you have been displaced by the recent financial turmoil, or your firm has budgetary constraints – we understand.

Please contact us at (800) 306-6133, so that we can help.

Best Regards,
Regulatory Compliance Association
(800) 306-6133

Thank you for your support of the>

Z Trek Copyright (c) Alan Zeichick