Charito A. Mittelman JD IACCP®
Chief Compliance Officer & General Counsel
Ms. Mittelman is responsible for actively monitoring our adherence to federal securities laws and regulations applicable to our firm as a U.S. Securities and Exchange Commission (SEC) registered investment advisor. Ms. Mittelman reviews updated regulatory changes and informs the staff on how those changes impact our relationship with clients and our business. Further, she reviews, drafts, and implements the firm’s supervisory policies and procedures and assists our staff in meeting our fiduciary duties to clients in conducting our business.
Prior to joining Main Street Research, Ms. Mittelman served six years as a staff attorney for the U.S. SEC, Division of Corporation Finance, in Washington, DC. While at the SEC, Ms. Mittelman reviewed domestic and foreign public company regulatory filings for compliance with federal securities laws. She further guided company counsel and executive officers through the SEC comment letter process and advised them on the interpretation and implementation of the Sarbanes-Oxley Act. She completed her LL.M. in U.S. Securities and International Law at Trinity College School of Law in Dublin, Ireland while also working as a tax specialist for PriceWaterhouseCoopers. Prior to receiving her LL.M. she practiced law as an associate at a litigation firm in San Francisco specializing in maritime law and medical malpractice as well as a consumer bankruptcy firm in Monterey, California. Ms. Mittelman received her Juris Doctor from Santa Clara University School of Law. She earned her BA in International Relations from University of California, Davis.