*****THIS WEBINAR WILL NOT BE AVAILABLE FOR REPLAY*****

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:

• ESG | Hurdles & Mishaps

• Review SEC exam priorities

• Share insights into trending investment adviser compliance issues

• Examination process

• 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.