Biography

Katherine P. Feld is Senior Special Counsel to the Deputy Director in the Office of Compliance Inspections and Examinations (OCIE) at the U.S Securities and Exchange Commission (SEC) in New York. She provides legal and regulatory guidance for investment company (IC) and investment adviser (IA) examinations on matters involving open-end funds, closed-end funds, exchange-traded funds (ETFs), board governance, compliance programs, transfer agents, variable annuity products, sub-advisory relationships and wrap account programs. 

Ms. Feld is co-coordinator of OCIE’s Investment Company Specialized Working Group, a task force across the SEC’s regional offices to collaborate and discuss current issues, exam initiatives and concerns related to investment companies, as well as inform rulemaking and policy initiatives. 

Prior to joining the SEC in May 2013, Ms. Feld spent nearly 30 years with major financial services firms in senior legal and compliance roles. She was previously Vice President & Corporate Counsel with Prudential Investments LLC, the mutual fund advisory and distribution unit of Prudential Financial; Chief Compliance Officer (CCO) and Counsel for the Alger Funds; Vice President & Senior Counsel with OppenheimerFunds; and associate attorney with Brown & Wood LLP (now Sidley Austin LLP) in New York. Ms. Feld holds a J.D. from Cornell Law School, M.B.A. from Cornell University’s Johnson Graduate School of Management, and B.A. in Economics from the University of Virginia, graduating Phi Beta Kappa with high distinction.

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Date
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4/15/2019
On-Demand