Laurie J. Cook  

Partner

Executive Summary

Laurie Cook is a partner practising in the Toronto office of Borden Ladner Gervais LLP. Laurie’s practice focuses on servicing participants in the investment management industry including Canadian and foreign fund managers, portfolio managers and dealers. Her area of specialization includes securities compliance, regulatory and registration. She provides advice to domestic and international investment funds, Canadian and offshore portfolio managers and dealers. Considered one of Canada’s leading registration experts, she has extensive experience in obtaining registrations for all categories of dealers and advisers across Canada. Laurie advises and prepares applications on behalf of foreign and domestic investment advisers, dealers and investment fund managers in respect of carrying on business in Canada and registration under provincial and territorial securities legislation, as well as advising other capital market participants.

Laurie is an active member of the Firm’s Securities Registrant Regulation and Compliance, Investment Management and Securities and Capital Markets Groups.

Representative Work

  • Advises both Canadian and foreign advisers, investment fund managers and dealers in respect of ongoing securities compliance, regulatory and registration matters.
  • Provides advice on registration matters and ongoing registrant regulation.
  • Represents and advises portfolio managers, investment fund managers and dealers on securities regulatory and compliance examinations.
  • Provides advice to advisers, dealers and investment fund managers on compliance systems and development of policies and procedures.
  • Advises and acts on acquisitions in a variety of areas, including those involving the acquisition of advisers and dealers.

Publications & Presentations

  • Moderator, "General Session: UDP’s and CCO’s," 2015 NSCP Canadian Conference (The National Society of Compliance Professionals), March 2015.
  • Co-Author, "Disclosing "Outside Business Activities" – OSC Amnesty Deadline Ends March 27, 2015," BLG Investment Management Bulletin, January 2015.
  • Co-Author, "Chapter Three: Registration in Canada," How to Start and Grow a Successful Hedge Fund in Canada, ISI Publications, August 2014.
  • Co-Author, "Getting Ready for the New Independent Dispute Resolution Regime Coming Into Effect on August 1, 2014," BLG Investment Management Bulletin, May 2014.
  • Speaker, "Canadian Panel," Association of Registration Management Inc. (ARM) 2014 Annual Educational Conference, March 2014.
  • Co-Author, "Possible Capital Markets Participation Fee Relief from the Ontario Securities Commission," BLG Investment Management Bulletin, February 2014.
  • Author, "August 1, 2014 Deadline: It's More Complicated Than It First Appears," BLG Investment Management Bulletin, January 2014. Author, "National Instrument 31-103 At A Glance (Revised!*)," BLG Investment Management Bulletin, June 2013.
  • Co-Author, "Two Distinct Regulatory Approaches for Non-Resident Investment Fund Managers Finalized in Canada," BLG Investment Management Bulletin, July 2012.
  • Speaker, “Navigating Your Way Through NRD and CSI,” Association Of Registration Management, Inc. (ARM) 2011 Annual Educational Conference, January 2011.
  • Co-Author, "Chapter: Registration in Canada," How to Start and Grow a Successful Hedge Fund in Canada, ISI Publications, 2011.
  • Co-Author, Registration in Canada – Starting A Hedge Fund, 3rd Edition, November 2010.
  • Speaker, Regulatory Update for Members and Friends of The Investment Counsel Association of Canada (NI 31-103, Registrant Regulation), June 2010.
  • Speaker, Strategy Institute Conference, 6th Annual Summit on Implementing Registration Reform, September 2009.
  • Special Guest Affiliate Member Discussion Participant, “Question/Answer on NI 31-103,” Investment Counsel Association of Canada, September 2009.
  • Speaker, “The Finale,” BLG Symposium on Registration Reform, August 2009.
  • Co-Chair and Speaker, Registrant Regulation Conference, The Canadian Institute, January 2009.
  • Co-Chair and Speaker, 5th Annual Implementing Registration Reform Conference, Strategy Institute, May 2008.
  • Speaker, BLG Symposium on Registration Reform, NI 31-103, Vancouver, Calgary, Montréal and Toronto, April 2008.
  • Co-Chair, Strategy Institute Conference: The Evolving Role Of The Registration Officer (Chairperson), January 2008.
  • Speaker, Registrant Regulation Conference, November 2007
  • Co-Chair, Strategy Institute Conference, 9th Annual Compliance Readiness Strategies, May 2007.
  • Quoted, "New rules for securities dealers; National standard to forge uniformity," Calgary Herald, May 19, 2007.
  • Speaker, Strategy Institute Conference, Registration Reform, April 2007.
  • Speaker, BLG Symposium on Registration Reform, Vancouver, March 2007.
  • Speaker, BLG Symposium on Registration Reform, Toronto, March 2007.
  • Quoted, "Canada a step closer to national security rule," Edmonton Journal, February 24, 2007.
  • Speaker, Mutual Fund Law Clerks Meeting – Registration Reform Project, January 2007.
  • Speaker, “The Business of Private Wealth Management – Today’s Compliance Issues: What You Need To Know,” Wealth Management Conference 2007, January 2007.
  • Speaker, “Understanding What’s Below The Surface: Compliance, Governance and Accounting Changes (Client Relationships, Transparency, Registration Reform),” 2006 Investment Management Symposium, November 2006.
  • Speaker, Third Annual National Registrant Regulation Conference, October 2006.
  • Co-Author, "New Anti-Money Laundering Initiatives and The Investment Funds Institute of Canada's Anti-Money Laundering Breakfast Forum," BLG Investment Management Advisory, October 2006.
  • Participant, Consultation Session on Registration Reform, September 2006.
  • Workshop Leader, Limited Market Dealers’ Compliance Readiness Strategies Conference and Workshop, July 2006.
  • Co-Author, "OSC Staff Releases Deficiency Report on Limited Market Dealers," BLG Investment Management Advisory, June 2006.
  • Speaker, Strategy Institute’s 8th Annual Compliance Readiness Strategies Conference, May 2006.
  • Presenter, Limited Market Dealers Association of Canada Board of Directors Meeting, November 2005.
  • Speaker, Second Annual National Registrant Regulation Conference, October 2005.
  • Speaker, Limited Market Dealers Audit-Readiness Strategies Seminar, September 2005.
  • Speaker, Limited Market Dealers Survey and Workshop, July 2005.
  • Speaker, National Registration System Conference, March 2005.
  • Speaker, First Annual National Registrant Regulation Priorities Conference, October 2004.
  • Speaker, Preparing for MFDA Compliance – Meeting the New Requirements under Mandatory SRO Membership, May 2001.
  • Speaker, Mutual Fund Dealers Rules Implementation Course – Understanding the Rules for Insurance, Books and Records Reporting, January 2001.
  • Speaker, Internet Compliance - New Rulebook for the Financial Services Industry, re implementing the new suitability rules, December 2000.