Profile
Susan Han is an Associate Counsel in the Business Law Group of Miller Thomson in Toronto.
Susan's strength is her deep knowledge of the investment management industry. She has extensive experience dealing with investment funds, including public mutual funds, pooled funds, domestic and offshore hedge funds, private equity funds, mortgage investment corporations (MICs) and other mortgage investment entities. Susan advises portfolio managers, investment advisers, securities dealers, exempt market dealers and financial planners on their regulatory obligations, including securities compliance and registration matters. Susan frequently advises on fund and corporate governance matters, including directors' and officers' liability and the obligations of independent review committees (IRCs).
Before joining Miller Thomson, Susan was Senior Vice-President, Legal, Compliance & Risk Management for DundeeWealth and before that, General Counsel at AIM Trimark (now Invesco Trimark).
Susan is a past director of the Investment Funds Institute of Canada (IFIC) and a frequent speaker at industry conferences and events.
Education
- LL.B., University of Toronto, 1986
- B.A. (Hons), University of Toronto, 1983
Memberships
- Member, Canadian Bar Association
- Member, Women in Capital Markets
- Member, Investment Counsel Association of Canada
Publications
- Introducing Point of Sale Stage 2 for Mutual Funds: The Impact on Dealers Selling Mutual Funds, Securities Practice Notes, Fall 2012
- Mutual Funds Point of Sale Stage 2: An Opportunity to Revisit NP 11-201 Electronic Delivery of Documents, Securities Practice Notes, Fall 2012
- Are Charities Inadvertently Acting as Mortgage Brokers or Administrators?, Charities and Not-for-Profit Newsletter, June 2011
- Jones v. Harris: Decision by U.S. Supreme Court Provides Guidance to Investment Funds Industry, Securities Practice Notes, Summer 2010
- Distribution of Non Arms-Length Investment Products, Securities Practice Notes, Spring 2010
- New Securities Rules Enhance Protection for Clients of Professional Money Managers, Charities and Not-for-Profit Newsletter, February 2010
- Recent Developments of Importance in Investment Funds and Asset Management, The 2010 Lexpert/American Lawyer Guide to the Leading 500 Lawyers in Canada, 2010
- Capital Raising Under the New Registration Regime, Securities Practice Notes, Fall 2009
- NI 31-103 Registration Requirements and Exemptions, eSecurities Notes, July 2009
- Developments in Soft Dollars and Best Execution, Compliance for Mutual Funds (Federated Press), 2006
- Moving Beyond a Checklist Mentality: Fostering a Culture of Compliance, 7th Annual Compliance Readiness Strategies, 2005
Industry Expertise
Key Practice Expertise
Year of Call
- Ontario Bar, 1988