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    Amid, the COVID-19 crisis, the safety and well-being of our members, guests, volunteers and staff are of the upmost importance to us.  With a state of emergency being declared state and nationwide, we are cancelling all live events through May 31, 2020.  We will attempt to convert these events to a virtual experience, where feasible or look to reschedule. 

    Take good care, stay safe and be well.   

    Lunch with the SEC

    February 19, 2020
    11:30 AM - 1:00 PM
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    103 West 103 West Paces Ferry Rd
    Atlanta, GA 30305  Directions

    Tickets

    $20.00 CFA Atlanta Namebadge

    $15.00 Member Ticket | Advanced Registration Required

    $35.00 Guest Ticket | Advanced Registration Required

    Join us for a presentation from the Atlanta Regional office of the U.S. Securities and Exchange Commission. The Atlanta Regional office has jurisdiction in Georgia, North Carolina, South Carolina, Tennessee, and Alabama. Topics expected to be discussed include:

    • An overview of the activities of the Atlanta Regional office.
    • Areas of current SEC focus during Inspections.
    • Trends observed during Adviser Inspections and Examinations.
    • Adviser response to a “deficiency letter”.

     

    Bring your questions (and your Chief Compliance Officer) for the Q and A that will follow the formal remarks, this will be the opportunity to explore “best practices” within your organization and the response from the SEC.


    Donna Esau, Associate Director, Atlanta Regional Office, SEC | Ms. Esau is the Associate Director of the Securities and Exchange Commission’s (SEC) Atlanta Regional Office. She began her career at the SEC as an Examiner in the Atlanta Office's examination program in 1996. She has served as a Senior Program Adviser in the National Examination Program and most recently as Acting Associate Regional Director in the Atlanta Office. In 2009, she joined the Fort Worth Regional Office as an Assistant Regional Director and in 2011 returned to the Atlanta Regional Office as an Assistant Regional Director. Ms. Esau holds a B.S. degree in business, a master’s degree in accounting, and is a certified public accountant in the state of Georgia.

    Peter Diskin, Assistant Director, Public Finance Abuse Unit, Division of Enforcement, Atlanta Regional Office, SEC | Mr. Diskin is an Assistant Regional Director for the Division of Enforcement’s Public Finance Abuse Unit. He joined the SEC in August 2000. Prior to joining the SEC Mr. Diskin served as the Director of Registration and Licensing with the state of Georgia Securities Division and was an associate with a law firm specializing in securities litigation and arbitration. Prior to attending law school, Mr. Diskin earned his CPA license in the State of New York, where he was employed as an auditor with a major public accounting firm and as a corporate financial analyst with a Fortune 500 media conglomerate. Mr. Diskin earned a B.S.  in accounting from New York University and a J.D. from the University of Georgia School of Law.

    Future Events

    Online Series: Cyber Security Forum 2020

    April 02, 2020
    2:00 PM - 3:15 PM

    Webcast

    Co-promoted in partnership with CFA Society NY, a virtual event

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    Online Series: The SECURE Act and Why It Matters

    April 15, 2020
    12:00 PM - 12:45 PM

    Via Webex - Please contact Cathy Ford ([email protected]) for details

    1hr Pd Credit

    Read More

    Online Series: Introduction to Python for Business and Finance | A Cognitir Workshop

    April 17, 2020
    9:00 AM - 5:00 PM

    Webinar

    Join us for this unique learning opportunity

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    Annual Meeting, A Fireside Chat with Rupal J. Bhansali

    June 10, 2020
    5:30 PM - 8:00 PM

    The Buckhead Club
    3344 Peachtree Rd. NE - 26th Floor
    Atlanta, GA 30326

    1hr PD Credit

    Read More