Called to the Bar
  • Ontario (1988)
Education
  • LL.B., University of Toronto, 1986
  • B.A. (Hons.), University of Toronto
Affiliations
  • Ontario Bar Association

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.

Experience

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
  • Repeatedly recognized by Best Lawyers in Canada as a leading lawyer in Securities Law

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

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
  • Repeatedly recognized by Best Lawyers in Canada as a leading lawyer in Securities Law

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

Community Involvement

Chair, Canada-Korea Business Council

Judge, Toronto Metropolitan University Law & Business Case Competition

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.

Experience

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
  • Repeatedly recognized by Best Lawyers in Canada as a leading lawyer in Securities Law

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

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
  • Repeatedly recognized by Best Lawyers in Canada as a leading lawyer in Securities Law

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

Community Involvement

Chair, Canada-Korea Business Council

Judge, Toronto Metropolitan University Law & Business Case Competition

Called to the Bar
  • Ontario (1988)
Education
  • LL.B., University of Toronto, 1986
  • B.A. (Hons.), University of Toronto
Affiliations
  • Ontario Bar Association
Speaking Engagements
  • Speaker, “Offering Memorandum Amendments”, PCMA, Online, April 20 & April 27, 2023
  • Speaker, “From Farm to Table: An In-Depth Conversation about the Food Sector”, WeirFoulds, Online, June 2, 2021
  • Panelist, “Canadian Real Estate: It’s a mad, mad, mad, mad world!”, PCMA 2021 Online Conference, June 17, 2021
  • Moderator, “Spring Regulatory & Compliance Webcast”, PMAC, Online, May 12, 2021
  • Speaker, “Having issues with agency relationships?”, The Canadian MSB Association Fall Conference, Online, December 1, 2020
  • Speaker, “Beneficial Ownership Update”, 2020 Canada Spring Training Session, Canadian MSB Association, Online, May 2020
  • Speaker, “Securities Law Update: National Regulator on the Horizon?”, The Six-Minute Business Lawyer, Law Society of Ontario, Toronto, ON, June 2019
  • Speaker, Panel Discussion, Breakfast Seminar at Arbitration Place: In Conversation with Secretary General Sue-Hyun Lim, KCAB International, KCAB International, Canada-Korea Business Council and CIArb Canada, Toronto, March 2018
  • Speaker, “Regulating Syndicated Mortgages”, PCMA MIE Committee Webinar, Toronto, ON May 2018
  • Speaker, “Syndicated Mortgages: Understanding the Changing Regulation”, Toronto, ON, April 2018
  • Speaker, “Fireside Chat”, 2018 PCMA Private Capital Markets Conference, Toronto, ON, April 2018
  • Speaker, “Proposed Residential Mortgage Underwriting Practices and Procedures: Implications for Mortgage Investment Entities”, PCMA Webinar, August 2017
  • Speaker, “Canada’s Mutual Evaluation Report,” Canadian MSB Association Annual Conference, October 2016
  • Speaker, “The Offering Memorandum Exemption”, presentation to CFA Society, June 2016
  • Speaker, “The Proposed Whistleblower Rules”, Federated Press Conference, April 2015
  • Speaker, “Update on Anti-Money Laundering”, The Six Minute Business Lawyer, Law Society of Ontario, Toronto, ON, 2015
  • Speaker, “Developments in Soft Dollars and Best Execution”, 4th Advanced Investment Funds Compliance and Other Legal Issues, Federated Press, October 2011

Papers

“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