Laurie J. Cook



Laurie’s practice focuses on serving participants in the investment management industry including Canadian and foreign fund managers, portfolio managers and dealers.

She specializes in securities compliance, regulatory and registration.

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 regarding carrying on business in Canada and registration under provincial and territorial securities legislation, as well as advising other capital market participants.


  • Canadian and foreign advisers, investment fund managers and dealers in ongoing securities compliance, regulatory and registration matters.
  • Registration matters and ongoing registrant regulation.
  • Portfolio managers, investment fund managers and dealers on securities regulatory and compliance examinations.
  • Advisers, dealers and investment fund managers on compliance systems and development of policies and procedures.
  • Acquisitions in a variety of areas, including those involving the acquisition of advisers and dealers.

Beyond our Walls

Professional Involvement

  • Member, Ontario Bar Association, Business Law Section
  • Member, Industry, Regulation and Tax Committee, PMAC (Portfolio Management Association of Canada)

Community Involvement

  • Member, Board of Governors, George Brown College

Awards & Recognitions

  • Recognized in the 2018 edition of Canadian Legal Lexpert® Directory (Investment Funds & Asset Management)

Bar Admission & Education

  • Ontario, 1997
  • LLB, University of Windsor, 1995
  • B.Sc.(Hons.), University of Guelph, 1982