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.
Dave Santiago, CPA, CA, CFA – Director
Dave is a Chartered Professional Accountant (CPA, CA) with an Honours Bachelor of Commerce degree from the University of Toronto. He also holds the Chartered Financial Analyst (CFA) designation. While at the OSC, Dave was involved in planning, conducting and overseeing regulatory compliance reviews of Portfolio Managers, Exempt Market Dealers and Investment Fund Managers. Dave also worked on a variety of projects at the OSC, including the June 2012 cost disclosure and performance reporting proposals, the 2011 annual report for registrants, and the compliance review program and risk assessment questionnaire for Portfolio Managers.
E: email@example.com M: 647.921.9577
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: firstname.lastname@example.org M: 647.921.9535
Donna Leitch – Senior Compliance and Registration Advisor
Donna has over 20 years of experience in regulatory and legal environments. Donna is a Senior Compliance and Registration Advisor with Trinity Compliance Partners. Her focus is on registration and compliance related matters for firms in all categories of registration. Donna has extensive experience in compliance and regulatory matters including preparing compliance policies and procedures manuals and assisting clients to obtain exemptions and registration in all categories of registration. Donna was an Assistant Manager of the Registrant Regulation branch at the Ontario Securities Commission for over ten years where she was responsible for implementing the new registration regime in Canada for advisers, dealers and investment fund managers (NI 31-103). Donna was also with Fasken Martineau DuMoulin LLP in the Securities Group involved in compliance and regulatory matters.