Susan Han

Senior Legal Counsel
AUM Law

SUSAN HAN is asecurities and regulatory lawyer with AUM Law in Toronto. Susan advisesportfolio managers, investment advisers, securities dealers, exempt marketdealers and other financial services providers on their regulatory obligations,including securities compliance and registration matters. She has extensiveexperience dealing with investment funds, including public mutual funds andprivate pooled funds. Susan’s compliance and regulatory practice includesadvising clients on anti-money laundering (AML), fiduciary and statutoryobligations of investment managers, codes of ethics and personal trading,foreign corrupt practices, privacy, data security and data management,anti-spam legislation and compliance with U.S. Foreign Account Tax ComplianceAct (FATCA). Susan has served as the Corporate Secretary to a number of publiccompanies and large investment fund complexes and their independent reviewcommittees (IRCs).  She speaks frequentlyon regulatory matters, particularly AML, and on capital raising for SMEs,directors and officers liability and on corporate, fund and pension governance.Susan is the Chair of the Compliance & Regulatory Affairs Committee of theNational Exempt Market Association (NEMA) and a director with the CanadianMoney Services Businesses Association with an interest in the intersection ofpayments, FinTech and AML. Before returning to the practice of law, Susan wasSenior Vice-President responsible for Legal, Compliance & Risk Management,Dundee Wealth and before that, General Counsel, Canada for Invesco Trimark.Susan received both her B.A. and J.D. from the University of Toronto. FollowSusan on Twitter @SusanJHan