Susan Han is a Partner practising securities and corporate law with a focus on public and non-public mid-market issuers and their sponsors.
Susan has extensive experience with investment funds, advising on and forming investment vehicles under a variety of structures. Susan advises portfolio managers, investment advisers, exempt market dealers and other financial services providers on their regulatory obligations, including securities compliance and registration matters. She has a particular interest in anti-money laundering (AML) as well as in the fiduciary and statutory obligations of investment managers and broker-dealers.
Before returning to private practice, Susan was Senior Vice-President responsible for Legal, Compliance & Risk Management, Dundee Wealth and before that, General Counsel, Canada for Invesco Trimark. This experience gives Susan an awareness and understanding of clients expectations, because she was once in their shoes. Whether it’s cost efficiency or sense of urgency, Susan is aligned with her clients to deliver practical, results-oriented service.
Susan is a frequent speaker at professional programs and seminars on topics ranging from funds and pension governance to anti money laundering.
Formation of private mortgage investment corporation and preparation of offering memorandum and associated documentation to permit the offering of shares on a private placement basis
Formation of limited partnership investing in commercial real property and preparation of offering memorandum to permit the distribution of partnership interests on a private placement basis
Formation of long/short hedge fund to be offered to investors on a private placement basis
Formation of mortgage investment trust and parallel limited partnership to invest in and hold interests in commercial mortgages and preparation of offering documents for the distribution securities of the trust and the partnership on a private placement basis
Act for US hedge fund manager with respect to formation and offering of Canadian hedge fund replicating successful US strategies
Act for mortgage investment corporation on its acquisition of $12 million mortgage portfolio
Act for Special Committee of a Labour Sponsored Venture Capital Corporation in unsolicited bid
Act for IIROC dealer in acquisition of MFDA deal
- Arbor Award for Voluntary Contributions to University of Toronto
Member, AML/ATF Public/Private Sector Advisory Committee (PPSAC)
Chair, National Exempt Market Association’s (NEMA) Compliance & Regulatory Affairs Committee
Director, Canadian Money Services Businesses Association
Seminar Leader, Directors course, Canadian Board Diversity Council
Member – Women in Capital Markets
Called to the Bar
- Ontario (1988)
- LL.B., University of Toronto, 1986
- B.A. (Hons.), University of Toronto
- Ontario Bar Association
Chair, Canada-Korea Business Council
Judge, Ryerson University Law & Business Case Competition
“Bitcoin isn’t going away”, Advisors Edge Magazine, May, 2014
“An Overview of AML for Exempt Market Dealers”, Exempt Edge Magazine, Spring 2014
“Recent Developments of Importance in Investment Funds and Asset Management,” The 2010 Lexpert/American Lawyer Guide to the Leading 500 Lawyers in Canada, 2010