Skip To Content
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.

    • Picton Mahoney Asset Management
      In connection with the launch of the Picton Mahoney Fortified Alternative Funds, one of the first suites of alternative mutual funds offered in Canada
    • Purpose Investments
      In connection with the launch of innovative private funds, investments in novel business structures and applications for registration and exemptive relief
    • 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)

     

    General

    • 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.

  • Law Society of Ontario

Previous Speaking Engagements

  • Law Society of Upper Canada
    Speaker, Update on Securities Regulatory Initiatives, 2016-2018
  • Portfolio Managers Association of Canada (PMAC)
    Speaker, Regulatory & Compliance Forum, September 2018
    Speaker, Chief Compliance Officers Network, September 2015-2017
  • RBC Investor & Treasury Services Investor Forum
    Speaker, Fireside Chat on Securities Regulation, May 2018
  • An In-Depth Look at Plan Investments: Recent and Upcoming Changes to Legislation and Policy
    Speaker, June 16 & 25, 2015

 

Education

  • Canadian Securities Course (Canadian Securities Institute)
  • Partners, Directors and Officers Exam (Canadian Securities Institute)

 

Publications

  • Ontario Government’s Crawford Panel on a Single Canadian Securities Regulator (Associate)