Sophie Dupin, Partner

Sophie Dupin Sophie Dupin’s practice concentrates on collective asset management, investment funds, management companies, AIFMs, investment firms and professionals of the financial sector. As a matter of fact, Sophie advises a number of investment fund promoters and other financial institutions in relation to the set-up, structuring and administration of their Luxembourg investment fund operations and their financial sector activities. In addition, she is also member of various working groups, for instance the ALFI (Association of the Luxembourg Fund Industry) and the ALCO (Association Luxembourgeoise des Compliance Officers). Prior to joining the firm, Sophie Dupin worked in law firms in Bordeaux (France). She was a member of the Bordeaux Bar from 2001 to 2010 and was admitted to the Luxembourg Bar under her home title in 2004. Since 2010, she is a member of the Luxemburg Bar. Besides, Sophie Dupin holds a DESS (diplôme d’études supérieures spécialisées) in business law and tax from the Université Montesquieu Bordeaux IV (France), a Certificate in English law from the University of Warwick (UK) as well as a Maîtrise en droit from the Université Montesquieu Bordeaux IV (France).  
09.55-10.40

Round Table Discussion - Risk Management: a key pillar of the governance model

  • Risk management models
  • Roles & responsibilities of the ManCo Board
  • Relation between Board of Funds and ManCo
  • Roles & responsibilities of the Conducting Officers
  • Local substance requirements
  • Parent Companies/Branches/Subsidiaries
  • Risk Management, compliance & internal Audit
  • Andreia Camara

    Andreia Camara Head of Risk Luxembourg & Conducting Officer Aberdeen Global Services

  • Joe Davidson

    Joe Davidson Partner & COO Fulcrum Asset Management London


13.35-14.20

BREAKOUT SESSION 1: Stress testing & VaR model backtesting C.S.I. - Practitioners thoughts


14.50-15.50

Delegation & Oversight - Current thinking & possible scenarios for UK based Asset Managers

  • Investment Management – role of the investment advisor
  • Central administration (Accounting,TA)
  • Marketing & Distribution
  • Custodian/Depositary
  • ESMA-General principles on supervisory approach to relocations from UK
  • ALFI guidelines:Principles of the oversight of financial
    intermediaries