ALFI Global Asset Management Conference

Sophie Dupin’s practice concentrates on asset management and regulated entities (management companies, AIFMs, investment firms and other professionals of the financial sector servicing investment funds or acting within the asset management field, such as registrar agents, depositary banks, administrative agents, domiciliation agents, distributors).

Sophie advises these regulated professionals in relation to the set-up, structuring and administration of their Luxembourg activities. This includes advice on initial and ongoing matters, as well as operational, regulatory, anti-money laundering (AML) and counter-financing of terrorism (CFT), outsourcing and cross-border activities . 

She supports clients examining new or existing compliance programmes, during on-site/off-site visits from public authorities, investigations and proceedings, as well as dealing with observations and sanctions from public authorities and defending claims.

In particular, Sophie provides tailored regulatory advice to Luxembourg regulated professionals on topics as diverse as MiFID, AML/CFT, outsourcing, IT and cloud infrastructure, environmental, social and governance (ESG) matters.