Services

Trinity Compliance Partners offers a range of services that can be customized to meet your firm’s specific requirements. We specialize in providing Portfolio Managers, Exempt Market Dealers, Scholarship Plan Dealers and Investment Fund Managers with compliance consulting and support services.

Our services include:

• mock on-site regulatory compliance reviews
• operational compliance reviews of topical areas such as know your client and suitability or marketing
• review of anti-money laundering compliance regime including policies and procedures, risk assessment and ongoing training program
• on-site operational support
• regulatory compliance review assistance
• guidance when responding to regulatory inquiries, letters or reports
• new registrant services, including a preliminary compliance assessment and help establishing an effective compliance system
• advice with respect to initial and ongoing compliance and registration requirements
• regulatory updates, including helping your firm assess the impact of new rules and requirements
• developing or revising your firm’s policies and procedures manual
• assistance with registration matters
• employee training sessions
• engagement as a Compliance Consultant or Monitor when terms and conditions are imposed on your registration by regulatory authorities