Susan An, Esq. Email & Phone Number

Rockville, Maryland, Us

SoKat Capability Statement:SoKat is based locally in Howard County, MD and is certified as SBA 8(a), WOSB and EDWOSB. Our team comprises of faculty and alums of Johns Hopkins University, which enables us to apply the best and brightest minds in Artificial Intelligence and Machine Learning technology to our client's data-based business problems. SoKat's synthesis of academic prowess and industry experience has resulted in multiple awards and competition wins for the technology solutions we built in the Federal government space. In addition to our focus on scalable and innovative solutions, we prioritize the human-user experience because effective AI is trust-worthy and understandable AI. To achieve this, we start with empathy for our clients, as we become the most trusted guide on their AI journey.

Fairfax, Virginia, Us

Baltimore, Maryland, Us

Negotiated and executed contracts to facilitate research and commercialization of proprietary technology, including material transfer agreements, non-disclosure agreements, inter-institutional agreements, collaborative research agreements, intellectual property licenses, repository agreements, and various other contractual documents.Designed and implemented policies and procedures to support review, negotiation, drafting, quality control and compliance for JHTV agreements to ensure compliance with university policies and federal regulations.Worked with support staff and computer systems to ensure proper docketing, accurate data collection and management of compliance activities.Participated in development and delivery of faculty education and outreach programs.Collaborated and communicated with faculty, other JHU staff members, legal counsel and third party representatives.

Served as in-house counsel to $1B long-short equity hedge fund, providing legal guidance to the investment manager, senior management and employees on federal securities regulation. Registered Calypso Capital Management, LP, as an investment adviser with the SEC.Created and monitored the implementation of the firm's compliance program by developing a compliance manual and code of ethics.Negotiated ISDA broker-dealer agreements with firm's broker-dealers.Reviewed and approved all of the firm's marketing materials to ensure compliance with SEC regulations.Coordinated with outside counsel to annually amend the firm's offering documents.Filed the firm’s SEC Form ADV, Form 13F and 13H.Filed for firm's copyright and trademark protection.

Baltimore, Md, Us

Served as general corporate counsel to four start-up non-profit organizations that were oriented towards community development in the area of housing, youth education and the arts. Advised board of directors on diverse issues, comprising: duties of directors, director’s and officers insurance, federal and state taxation, board elections, and proper use and allocation of government funding. Drafted contracts and employment agreements, registered organizations for federal and state income tax exemptions.

Philadelphia, Pa, Us

Conducted legal research and drafted memoranda on various issues of corporate law, including: Regulations of prime brokers and introducing brokers, the anti-money laundering rules as applied to investment companies in the USA PATRIOT Act, and dividend distribution disclosure rules for mutual funds.Reviewed merger proxy documents for Fortune 500 companies. Assisted in drafting client contracts for the firm’s investment management division. Created extensive client in-take documents for hedge funds in order to expedite process of creating legal documents for new clients, comprising of: Private placement memos, subscription agreements, limited partner agreements and Regulation D forms. Drafted a monthly newsletter, which was circulated to the firm’s investment clients. Newsletter discussed recent SEC action regarding investment company regulation.

Aided staff attorneys in prosecuting investment companies that violated antifraud provisions of Maryland’s Securities Act. Conducted research of relevant case law, reviewed case files and drafted memoranda analyzing recommended courses of legal action. Drafted 10 page memoranda regarding the impact of the Commodities Futures Modernization Act on the Maryland Securities Act. Assistant Attorney General used the Memo to brief the staff at the Maryland Securities Division.

Executive Education Certificate, Project Management

Executive Education Certificate, Strategic Negotiations

Jd, Corporate Governance, Economic Development

Ba, Political Science And Financial Economics