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    Past Events - Video Archives

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    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

    Register Now

    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

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    January 22, 2020
    5:30 PM - 8:00 PM

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

    1hr PD Credit

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    16th Annual Forecast Event | Featuring Special Guest Speaker Dr. Janet L. Yellen

    February 05, 2020
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    246 Ivan Allen Jr Blvd NW
    Atlanta, GA 30313

    Join us for this monumental event!

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    Lunch with the SEC

    February 19, 2020
    11:30 AM - 1:00 PM

    103 West
    103 West Paces Ferry Rd
    Atlanta, GA 30305

    1hr of PD Credit

    Read More

    Women Networking in Finance

    March 05, 2020
    4:30 PM - 7:30 PM

    Voya Investment Management
    5780 Powers Ferry Rd NW
    Atlanta , GA 30327

    Join us for this special networking event!

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    Entering The Middle Kingdom | Technology Enabled Investing in China-A Shares

    March 11, 2020
    11:30 AM - 1:00 PM

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

    1hr PD Credit

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    Globalization and Its Influence on Inflation in the U.S.

    March 25, 2020
    11:30 AM - 1:00 PM

    103 West
    103 West Paces Ferry Rd
    Atlanta, GA 30305

    1hr PD Credit

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    The SECURE Act and Why It Matters

    April 15, 2020
    11:30 AM - 1:00 PM

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

    1hr Pd Credit

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    Introduction to Python for Business and Finance | A Cognitir Workshop

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

    Georgia State University | The Buckhead Center
    Tower Place 200, Suite 400 3348 Peachtree Road NE - 6th Floor - Room 627
    Atlanta, GA 30326

    Join us for this unique learning opportunity

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    Spring Social Networking Event

    April 23, 2020
    5:30 PM - 7:30 PM

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    Join us for Happy Hour!

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