laurie j. cook

LAURIE J. COOK
Associée
T 416.367.6639
F 416.361.7070
Toronto
[email protected]
Valeurs mobilières, marchés financiers et sociétés
ouvertes
Financement des entreprises et valeurs mobilières
Comités de gouvernance et comités spéciaux
Réglementation et conformité des personnes inscrites
(valeurs mobilières)
Gestion des investissements
Formation / Admission au Barreau
EXECUTIVE SUMMARY
LLB, University of Windsor, 1995
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.
B.Sc. (Hons.), University of Guelph,
1982
Ontario, 1997
Activités professionnelles
Member, Ontario Bar Association,
Business Law Section
Member, Industry, Regulation and
Tax Committee, PMAC (Portfolio
Management Association of Canada)
Activités communautaires
Member, Board of Governors, George
Brown College
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
Avocats | Agents de brevets et de marques de commerce
© 2016 Borden Ladner Gervais
S.E.N.C.R.L., S.R.L.
(«BLG»). Tous droits réservés

Moderator, "General Session: UDP’s and CCO’s," 2015 NSCP Canadian
Conference (The National Society of Compliance Professionals), March
2015.

Author, "Disclosing "Outside Business Activities" – OSC Amnesty
Deadline Ends March 27, 2015," BLG Investment Management Bulletin,
January 2015 (with Matthew Williams and Michael Taylor).

Author, "Chapter Three: Registration in Canada," How to Start and Grow
a Successful Hedge Fund in Canada, ISI Publications, August 2014 (with
Prema Thiele and Matthew Williams).

Author, "Getting Ready for the New Independent Dispute Resolution
Regime Coming Into Effect on August 1, 2014," BLG Investment
Management Bulletin, May 2014 (with Matthew Williams and Michael
Taylor).

Speaker, "Canadian Panel," Association of Registration Management Inc.
(ARM) 2014 Annual Educational Conference, March 2014.

Author, "Possible Capital Markets Participation Fee Relief from the
Ontario Securities Commission," BLG Investment Management Bulletin,
February 2014 (with Matthew Williams and Michael Taylor).

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.

Author, "Two Distinct Regulatory Approaches for Non-Resident
Investment Fund Managers Finalized in Canada," BLG Investment
Management Bulletin, July 2012 (with Prema Thiele, Rebecca Cowdery,
Matthew Williams and Marsha Gerhart).

Speaker, "Navigating Your Way Through NRD and CSI," Association Of
Registration Management, Inc. (ARM) 2011 Annual Educational
Conference, January 2011.

Author, "Chapter: Registration in Canada," How to Start and Grow a
Successful Hedge Fund in Canada, ISI Publications, 2011 (with Prema
Thiele and Matthew Williams).

Author, Registration in Canada – Starting A Hedge Fund, 3rd Edition,
November 2010 (with Prema Thiele and Matthew Williams).

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
Avocats | Agents de brevets et de marques de commerce
© 2016 Borden Ladner Gervais
S.E.N.C.R.L., S.R.L.
(«BLG»). Tous droits réservés
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.

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 (with Ronald
Kosonic, Julie Mansi and Prema Thiele).

Participant, Consultation Session on Registration Reform, September
2006.

Workshop Leader, Limited Market Dealers' Compliance Readiness
Strategies Conference and Workshop, July 2006.

Author, "OSC Staff Releases Deficiency Report on Limited Market
Dealers," BLG Investment Management Advisory, June 2006 (with
Ronald Kosonic, Julie Mansi and Prema Thiele).

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.
Avocats | Agents de brevets et de marques de commerce
© 2016 Borden Ladner Gervais
S.E.N.C.R.L., S.R.L.
(«BLG»). Tous droits réservés

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.
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Avocats | Agents de brevets et de marques de commerce
© 2016 Borden Ladner Gervais
S.E.N.C.R.L., S.R.L.
(«BLG»). Tous droits réservés