Bio

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.