Tina L. Mitchell

Lead Sr. Compliance Consultant

Tina L. Mitchell

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  • Investment Adviser, Private Fund and Investment Company Compliance
  • Compliance Program Development
  • Testing and Surveillance Process
  • Risk Assessments and Annual Reviews
  • SEC Mock Audits
  • Best Execution and Trading Practices Analysis
  • Performance Advertising Reviews
  • Codes of Ethics
  • Compliance Training and Education