Trinity Compliance Partners

Trinity Compliance Partners (TCP) is a boutique regulatory compliance services firm that assists advisers, fund managers, exempt market dealers and restricted dealers including funding portals. We provide solutions that are tailored to your business. Our team includes former compliance examiners and a former registration supervisor of the Compliance and Registrant Regulation Branch of the Ontario Securities Commission (OSC). Together, we have been involved in conducting a large number of regulatory compliance reviews and supervising a team of registration officers at the OSC. We have also worked on a number of reviews that have led to enforcement action, suspensions or terms and conditions and have extensive experience in dealing with compliance and registration related matters. We have experience across registration categories, and combined we have over 35 years of regulatory compliance and registration experience at the OSC.

Andrew Rhee, CPA, CA – Director

Andrew is a Chartered Professional Accountant (CPA, CA) with an Honours Bachelor of Commerce degree from the University of Toronto. During his time at the Commission, Andrew was involved in planning,conducting and overseeing regulatory compliance reviews of Exempt Market Dealers, Scholarship Plan Dealers, Investment Fund Managers and Portfolio Managers. Andrew helped develop the compliance review program used for Exempt Market Dealers, Scholarship Plan Dealers and Investment Fund Managers. Andrew was also a past member of the CSA Compliance Committee that works on harmonizing application of rules across the country.

E: arhee@trinitycompliancepartners.com M: 647.921.9535