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    Amid, the ongoing COVID-19 pandemic, the safety and well-being of our members, guests, volunteers, and staff are of the utmost importance to us.  We have postponed all in-person events until further notice.  Take good care, stay safe, and be well.   

    Online Series: SEC Update

    March 03, 2021
    12:00 PM - 1:00 PM
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    Webinar Details to follow
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    Tickets

    $0.00 Member Ticket | Advanced Registration Required

    $25.00 Guest Ticket | Advanced Registration Required

    $20.00 CFA Atlanta Namebadge

    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:

    • examination process
    • review SEC exam priorities
    • share insights into trending investment adviser compliance issues
    • followed by Q&A with the audience

     

    Bring your questions (and your Chief Compliance Officer) for the Q&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 Advisor 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: SEC Update

    March 03, 2021
    12:00 PM - 1:00 PM

    Webinar
    Details to follow

    Qualifications: Ihr Professional Learning | CFA Institute Competency Framework Skill = Regulatory Compliance

    Read More

    Online Series: Dynamic and Disciplined Investing | Can We Do Both?

    March 11, 2021
    12:00 PM - 1:00 PM

    Webinar
    Details to follow

    Qualifications: Ihr Professional Learning | CFA Institute Competency Framework Skill = Performance Measurement, Evaluation & Reporting + Portfolio Construction

    Read More

    Online Series: Financial Modeling Best Practices | 10 Tips To Build A World-Class Model

    March 23, 2021
    12:00 PM - 1:30 PM

    Webinar
    Details to follow

    Qualifications: Ihr Professional Learning | CFA Institute Competency Framework Skill = Financial Modelling + Investment Strategy & Process

    Read More

    Online Series: The Future of Sustainability in Investment Management: Research and Tools

    April 14, 2021
    12:00 PM - 1:00 PM

    Webinar
    Details to follow

    Qualifications: Ihr Professional Learning | CFA Institute Competency Framework Skill = ESG Integration + Industry & Company Analysis + The World Economy

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    Online Series: Data Science for Managers Applications, Visualization, and Storytelling

    April 14, 2021
    5:30 PM - 9:00 PM

    Webinar
    Details to follow

    Our training partner, Cognitir is instructing this online course

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    Online Soft Skills Series: Hack Your Brain | Unlocking your Potential in the Digital Age

    April 28, 2021
    12:00 PM - 1:00 PM

    Webinar
    Details to follow

    Qualifications: Ihr Professional Learning | CFA Institute Competency Framework Skill = Leadership + Personal Effectiveness

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    Online Series: The Future of Emerging Markets & The Coming Digital Generation

    May 06, 2021
    12:00 PM - 1:00 PM

    Webinar
    Details to follow

    Qualifications: Ihr Professional Learning | CFA Institute Competency Framework Skill = The World Economy + Financial Analysis + Investment Strategy & Process

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    Online Series: A Professional Investor's Guide To Cryptoassets | Everything You Need To Know About A Rapidly-Emerging Asset Class

    May 12, 2021
    12:00 PM - 1:00 PM

    Webinar
    Details to follow

    Qualifications: Ihr Professional Learning | CFA Institute Competency Framework Skill = Instruments & Products + Portfolio Construction

    Read More