Watch Ep 10: Protecting Your PE Investments - Meet Our Regulatory and Transactional Lawyers

Date and Time: Wednesday, November 8 at 11am EST

Special Guests:

Topics:

  • Benefits of investing through an Exempt Market Dealer and the role of the securities regulator in private investments

  • Using legal documentation and structure to protect investor interests

  • Common mistakes in Shareholder agreements that investors should avoid

  • What's trending with the OSC and the new conflict of interest regulations

  • Legal due diligence red flags and deal breakers to avoid


Special Guests:

Lori Stein, Partner at McCarthy Tetrault

Lori Stein is co-lead of McCarthy Tetrault’s Fintech Group and a partner in the Securities Regulatory and Investment Products Group of the Business Law Department in Toronto. She is ranked by Chambers FinTech as a Band 1 lawyer and is a frequent speaker and thought leadership contributor on the regulation of digital assets and blockchain technology in Canada. She advises Fintech businesses, portfolio managers, dealers, investment fund managers and institutional investors on all aspects of Canadian securities regulation. Lori is at the forefront of the fast-paced digital asset space, guiding clients on how to manage legal and regulatory risks associated with crypto assets and blockchain infrastructure. She regularly engages with the Canadian Securities Administrators on behalf of crypto asset trading platforms and other Fintechs.

Lori helps clients obtain regulatory approval for innovative business strategies through applications for registration and exemptive relief under securities and derivatives regulation, and advises on day-to-day compliance issues, investigations, regulatory audits and strategic transactions.

Caroline Wang, Partner at Wang Legal Professional Corporation

Caroline was called to the bar in Ontario in 2002. She holds a Bachelor of Business Administration from the Schulich School of Business at York University, and obtained her law degree from the University of Western Ontario. Caroline is the principal and founder of Wang Legal, a boutique business law firm located in downtown Toronto, Canada, and often works closely with Meretsky Law Firm as an agent for the firm.

Caroline has practiced law for over 20 years, including at Goodmans LLP and Fraser Milner Casgrain LLP (now Dentons Canada LLP), both top tier Bay Street law firms in Toronto, Ontario. She was also Interim General Counsel and Corporate Secretary for Clairvest Group Inc. (TSX: CVG), a publicly-traded private equity firm. Caroline specializes in all aspects of corporate and commercial law and securities law, including mergers and acquisitions, private equity, debt and equity financing, corporate structuring and reorganization and corporate governance.

 

Hosts: Ara Sahakian CPA, CA, Partner and Sarmen Boyajian, Partner at PE Gate.

Sarmen Boyajian