Lori is a Partner in the Corporate Department, 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 models though applications for registration and exemptive relief and also advises on day-to-day compliance issues, regulatory audits and investigations.
Lori 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.
Lori's practice covers the development of launch of new investment products, negotiation of investment management agreements and other business critical matters. In addition to servicing Canadian registered firms, Lori works with global dealers and advisers in respect of their Canadian initiatives.