The US Securities and Exchange Commission (SEC) has promoted Donna Esau to head the examinations program in the regulator’s Atlanta regional office, according to an official statement.
Ms. Esau has worked at the SEC for the past 20 eight years, serving as a senior program adviser in the National Examination Program and most recently as Acting Associate Regional Director in the Atlanta office.
In her new position, Ms. Esau leads a staff of approximately 40 experts to implement the national examination program’s strategies for investor protection and market integrity at a time of significant regulatory change. She will be responsible for the examination of broker-dealers, investment companies, investment advisers, and transfer agents across Alabama, Georgia, North Carolina, South Carolina, and Tennessee.
ICDX, JFX Announce the 2019 Winners of the Bilateral Transactions VolumeGo to article >>
Donna’s tenure with the agency has encompassed several roles in different regions, including at the SEC’s Fort Worth Regional Office where she worked as an assistant regional director.
Commenting on the appointment, Walter Jospin, Director of the SEC’s Atlanta Regional Office, said: “Donna is a very strong and experienced leader and manager. She has excellent technical skills, and understands the firms and capital markets which we regulate. Donna also understands the risks faced by retail investors in our region. I am really pleased that Donna will be part of the Atlanta office’s senior management team.”
Ms. Esau added: “I am grateful for this opportunity, and I look forward to leading the examination team in Atlanta as we continue to serve the public, protect investors, and help ensure market integrity. I am also excited about continuing to work with the experienced team of professionals in Atlanta.”