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.

Also known as: Trinity Compliance Partners Inc.

Primary location: Toronto