Susan Han

Partner

Toronto
416.947.5014

Susan Han

Experience

Practice Areas

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.

Notable Cases

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

Awards

  • Arbor Award for Voluntary Contributions to University of Toronto

Professional Activities

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

Community Involvement

Chair, Canada-Korea Business Council

Judge, Ryerson University Law & Business Case Competition

Speaking Engagements

Speaker, "Regulating Syndicated Mortgages", PCMA MIE Committee Webinar, Toronto, ON May 15, 2018
Speaker, "Syndicated Mortgages: Understanding the Changing Regulation", Toronto, ON, April 19, 2018
Speaker, "Fireside Chat", 2018 PCMA Private Capital Markets Conference, Toronto, ON, April 12, 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 Upper Canada, 2015
Speaker, "Developments in Soft Dollars and Best Execution", 4th Advanced Investment Funds Compliance and Other Legal Issues, Federated Press, October 2011

Publications

Legend: GeneralLitigationPropertyCorporateGovernment

News

Legend: GeneralLitigationPropertyCorporateGovernment

In the Media

Legend: GeneralLitigationPropertyCorporateGovernment

Events

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

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