Mr. Han is an experienced transactional and regulatory attorney, with both law firm and in-house experiences. Mr. Han started his legal career at the Structured Products and Derivatives Group of Schulte Roth & Zabel LLP in 2007, where he represented U.S. and global investment banks and asset and investment managers in structuring various private issuance and investment vehicles, such as SPVs, investment trusts and private investment funds, making private placements in structured finance and repackaged securities, and negotiating over-the-counter derivatives transactions. Mr. Han left Schulte Roth to join the Capital Markets Group of Davis Polk & Wardwell LLP in 2011, where he focused his practice on equity derivatives, structured financial products, proprietary indices on various asset classes, and registered and exempted securities offerings, representing clients that include almost all the major U.S. and global sell-side financial institutions active in the U.S. market. While at Davis Polk, Mr. Han also served on two seven-month assignments at Deutsche Bank and JPMorgan in 2013 and 2015-2016 respectively, providing onsite legal coverage on Deutsche Bank’s Dodd-Frank compliance and JPMorgan Global Wealth Management’s capital markets and broker-dealer business, respectively.
Mr. Han has broad knowledge and experience in the areas of capital markets (with a particular focus on structuring and offering of, and investment and trading in, complex security and non-security financial products), private investment funds and investment adviser regulation, and broker-dealer and financial adviser regulation (including the integration of regulatory requirements into technology/trading platforms). As an outside counsel, Mr. Han has represented major global financial institutions in their capacities as issuers, underwriters and dealers in registered and exempted securities offerings and in OTC transactions, and has advised asset and investment managers in structuring different types of investment vehicles. As an internal counsel, Mr. Han has knowledge and understanding of the legal and compliance functions, control processes, organizational structures and various policies and procedures at global financial institutions.
Mr. Han received a J.D. from Cornell Law School and a Ph.D. in political theory and analytical philosophy from the University of Connecticut.
Mr. Han is admitted to practice in the State of New York.