Ms. Clark is Of Counsel in K&L Gates’ Washington, D.C. office. She concentrates her practice in the investment management and securities areas where she advises participants in the financial services industry, including investment advisers, private fund managers, alternative investment vehicles and brokerage firms with respect to their obligations under international and U.S. federal securities laws, state laws and rules, self-regulatory organization rules (including the Securities and Exchange Commission, the Commodity Futures Trading Commission, the National Futures Association and the Financial Industry Regulatory Authority). She routinely helps clients register with the SEC under the Investment Advisers Act of 1940, and register with the CFTC as commodity pool operators and commodity trading advisors. Additionally, she creates, reviews and helps clients implement compliance infrastructures and programs associated with such registrations.
In addition, Ms. Clark has expertise with respect to various regulatory filings, including Form ADV, Form PF, Forms CPO-PQR and CTA-PR, Section 13 and 16 filings and Treasury International Capital and Bureau of Economic Analysis reports.
Articles in the National Law Review database by Beth Clark