Katherine P. Feld
Katherine P. Feld is Senior Special Counsel for Investment Companies in the Division of Examinations at the U.S. Securities and Exchange Commission where she provides expert legal and regulatory guidance on investment companies and their investment advisers. She identifies higher risk areas for examination, develops IC exam initiatives, conducts examinations, organizes and leads cross-divisional teams to address regulatory questions, trains staff, and briefs senior leadership on priorities relating to investment companies and their advisers.
Katherine is a co-coordinator of the IC-Specialized Working Group (IC-SWG), 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. She received the SEC Chairman’s Awards for Examination Excellence (Shannon D. Ayres Award) in 2019 and Investor Protection in 2021.
Prior to joining the SEC in May 2013, Katherine 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; Chief Compliance Officer (CCO) and Counsel for the Alger Funds; Vice President & Senior Counsel with OppenheimerFunds, Inc.; and associate attorney with Brown & Wood LLP (now Sidley Austin LLP) in New York, NY. Katherine holds a J.D. from Cornell University Law School, M.B.A. from Cornell University’s Johnson Graduate School of Management, and B.A. in Economics from the University of Virginia.