Lori Stein is a partner in the Investment Funds and Asset Management Group. She advises portfolio managers, dealers and fund managers 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.
Lori also provides counsel to blockchain-based enterprises and other fintech businesses on the applicability of Canadian securities and derivatives laws and anti-money laundering/anti-terrorist financing regulation to their product and service offerings.
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 and 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 Practice with a focus on securities, investment funds and asset management.