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Lori Stein

Lori Stein

Counsel, Corporate Department


Contact Information

lstein@osler.com

tel: 416.862.4253

Office

Toronto

Bar Admission

Ontario, 2002

Education
  • University of Toronto, J.D.
  • McGill University, B.A.
Language(s)
English

Lori is Counsel to the Investment Funds and Asset Management Group, where she advises portfolio managers, dealers, investment fund managers and institutional investors on Canadian securities regulatory matters. Lori assists clients to obtain regulatory approval for innovative business strategies though applications for registration and exemptive relief, and also advises on day-to-day compliance issues, regulatory audits and investment management transactions. In addition to servicing Canadian registered firms, Lori works with global dealers and advisers in respect of their Canadian initiatives. Prior to rejoining Osler in November 2014, Lori spent four years as General Counsel and Chief Compliance Officer to a Canadian hedge fund manager specializing in niche arbitrage investment strategies.  Before that, she served as Legal Counsel to the Canadian offices of two global hedge fund managers.  Lori began her career at Osler, where she articled and worked for five years in the Corporate Group with a focus on securities, investment funds and asset management.

  • 3iQ Corp.

    3iQ Corp. in connection with Canada’s first multiple digital currency investment fund

  • Ontario Pension Board

    Ontario Pension Board in the outsourcing of its investment management operations to a $60 billion new investment management entity, the Investment Management Corporation of Ontario (IMCO)

    • Develop, implement and enforce regulatory compliance programs for Canadian registrants and exempt international firms.
    • Advise market participants in connection with registration applications and interviews, regulatory audits and applications for exemptive relief from securities regulatory requirements.
    • Oversee the formation and launch of domestic and offshore public and private investment funds and other products.
    • Negotiate investment management agreements on behalf of asset managers and institutional investors.
    • Supervise marketing, due diligence and investor relations initiatives.
  • Find More
  • Chief Compliance Officers Network of the Portfolio Managers Association of Canada

    Speaker, Update on Canadian Securities Regulatory Initiatives, September 27, 2016

  • Chief Compliance Officers Network of the Portfolio Managers Association of Canada

    Speaker, Accredited Investor Status in the Exempt Market Funds Context, September 14, 2015

  • An In-Depth Look at Plan Investments: Recent and Upcoming Changes to Legislation and Policy

    Speaker, June 16 & 25, 2015

  • Law Society of Ontario

  • Canadian Securities Course (Canadian Securities Institute)
  • Partners, Directors and Officers Exam (Canadian Securities Institute)
  • Ontario Government’s Crawford Panel on a Single Canadian Securities Regulator (Associate)