FacultyFaculty/Author Profile

Karen B Clark

State Street Global Advisors

Boston, MA, USA


Karen B. Clark joined SSgA and SSgA Funds Management, Inc. in March 2001 after working as a Principal Consultant in the Regulatory Compliance Consulting Group of PricewaterhouseCoopers LLP. At PwC, she participated in compliance and control reviews of a variety of entities, including investment advisers, investment companies, hedge funds and variable insurance product sponsors. She also participated in several specialized projects for financial services’ clients, and frequently served as an author and instructor for PwC’s Professional Development Program. Prior to joining PwC, Karen was an Investment Company/Investment Adviser Examination Branch Chief at the Securities and Exchange Commission in Washington, D.C. At the SEC, she served as the project manager for the soft-dollar inspection sweep of broker-dealers, investment advisers, and investment companies. She oversaw the analysis of the data collected, and drafted large sections of the report issued in September 1998. As a branch chief, Karen supervised six staff responsible for inspections of investment companies, investment advisers, and variable insurance products. In addition, she oversaw and evaluated examinations conducted by SEC field offices. Prior to becoming a branch chief, Karen established and managed the Third-Party Mutual Fund Administrator Examination Program. She received her B.A. from Brandeis University and her M.B.A. from The American University.
Karen B Clark is associated with the following items:
Treatise Chapters  Treatise Chapters Custody of Mutual Fund Assets - Mutual Funds and Exchange Traded Funds Regulation, Tuesday, November 14, 2017
SEC Record-Keeping Requirements; and Appendix 24A - Mutual Funds and Exchange Traded Funds Regulation, Tuesday, November 14, 2017
Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.