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Steven London



Steven has a broad business and securities law practice that spans mergers and acquisitions, investment funds, private equity and venture capital, securities regulation, and general business law. His clients range from international enterprises to start-ups.

Steven has acted on behalf of clients on significant M&A transactions, establishment of a wide range of public and private investment funds, complex corporate restructurings, securities regulatory matters, private placements, IPOs including Capital Pool Companies, and a wide variety of corporate finance transactions.

In addition to his experience in private practice, Steven has ten years of senior executive experience from the financial services industry where he served as General Counsel and Chief Compliance Officer.


  • MBA, Ivey Business School, Western University, 2009
  • LL.B., University of Manitoba, 1996
  • B.A. (Hons), First Class Honours (Political Studies), University of Manitoba, 1992
  • Canadian Securities Institute (Canadian Securities Course; Partners, Directors and Senior Officers Qualifying Exam; Chief Compliance Officers Qualifying Exam)

Investment Fund Experience:


As General Counsel and Chief Compliance Officer for an investment fund company, was responsible for:


  • creation, maintenance and continuous disclosure obligations for a family of NI 81-102 mutual funds
  • creation and private placement offerings of Canadian and off-shore investment funds
  • flow-through limited partnership offerings (prospectus and private placement) and subsequent rollovers


As legal counsel:


  • Creation and offering of NI 81-102 mutual fund families
  • Creation and offering of private investment funds for use by discretionary portfolio managers
  • Creation and offering of private real estate investment trusts
  • Creation and offering of private limited partnerships (real estate groups)
  • Creation and offering of private venture capital funds
  • Creation and offering of private equity funds
  • Creation of agri-business investment fund
  • “Offering Memorandum” exemption offerings (2.9/45-106)


Mergers and Acquisitions:


  • $1.67 billion M&A transaction; led commercial team
  • Canadian counsel to Europe-based consolidator (multiple M&A transactions)
  • Counsel to Canadian tech firms on sales to US private equity groups
  • Counsel to financial services industry consolidator (multiple M&A transactions)


Corporate Finance:


  • Acting as counsel to issuers on a multitude of private placement offerings
  • – equity
  • – debt
  • – limited partnerships
  • Employee Share Ownership Plans
  • Counsel on complex corporate reorganizations
  • Manitoba Small Business Venture Capital Tax Credit offerings
  • IPOs, public company corporate governance and continuous disclosure (TSX, TSX Venture, Canadian Securities Exchange)
  • SAFE offerings


Securities Regulatory:


  • Assisting registrants with audit reviews
  • Acting as a monitor (public company)
  • Serves as member of 81-102 fund family Independent Review Committee
  • Contributing Editor, Hepburn on Limited Partnerships (2021, 2022)
  • Editor in Chief, Securities Source Newsletter (Thomson Reuters)
  • Presenter, Toronto Compliance Forum, Portfolio Management Association of Canada, Toronto Board of Trade
  • Presenter, “Corporate Structures”, Legal Education Society of Alberta
  • Presenter, “Meeting Registration Compliance Requirements of NI 31-103”, The Canadian Institute: Securities
    Law and Practice
  • Presenter, “Portfolio Manager Marketing Sweep Update”, Portfolio Management Association of Canada
  • Law Society of Manitoba
  • Law Society of Ontario
  • Board Member, and Chair of Governance Committee – B’nai Brith Jewish Community Camp