About Us

Trinity Compliance Partners is a boutique regulatory compliance consulting firm that provides customized support services and solutions.  The firm’s founders and principals, Andrew Rhee and Dave Santiago, are former accountants/examiners of the Compliance and Registrant Regulation Branch of the Ontario Securities Commission.  Trinity offers a range of services, including: mock regulatory compliance reviews of portfolio manager firms, investment fund managers and exempt market dealers, ongoing compliance consulting and support packages, assistance with terms and conditions placed on a firm by provincial securities commissions, regulatory updates, regulatory compliance review assistance, and anti-money laundering compliance regime reviews.