Dorota Maj is counsel in Ropes & Gray’s asset management group, based in London. Dorota advises asset managers on regulatory aspects of fund formation (including fund structuring, as well as marketing under the AIFMD/UK AIFM Law) and ongoing compliance requirements (including FCA conduct of business rules and continuing obligations under the AIFMD/UK AIFM Law such as Annex IV reporting or annual reporting). Dorota also advises on the regulatory aspects of transactions undertaken by fund managers including FCA change of control applications and asset stripping requirements.
In particular, Dorota has an in-depth knowledge of anti-money laundering laws and practice, having worked on establishing global anti-money laundering programs for leading asset managers. Dorota also oversees the functioning of these programs in practice.
Dorota has spent significant time on client secondments, which has allowed her to obtain an in-depth understanding of how to best address client needs in an increasingly complex global regulatory environment.
Experience
- Advising onshore and offshore fund managers on marketing under the Alternative Investment Fund Managers Directive (AIFMD)*
- Reviewing limited partnership agreements, subscription agreements, private placement memoranda, management agreements and investment advisory agreements in light of regulatory requirements*
- Undertaking review of anti-money laundering procedures for emerging markets fund manager and UK mid-market fund manager in light of the implementation of the Fourth Money Laundering Directive (MLD4)*
- Drafting sanctions policy for UK mid-market fund manager*
- Conducting pre-investment and pre-exit anti-money laundering and sanctions due diligence on candidate portfolio companies, vendors and purchasers*
- Conducting reviews of fund manager’s compliance manuals (in particular in relation to product governance) in light of the implementation of the Markets in Financial Instruments Directive (MiFID) II*
- Advising fintech provider on whether it is subject to FCA regulation*
- Conducting analysis of whether tokens are securities under UK law*
*Experience prior to joining Ropes & Gray
Credentials
Awards
Publications
Disclaimer
Ropes & Gray International LLP is a limited liability partnership registered in Delaware, United States of America and is a recognised body regulated by the Solicitors Regulation Authority (with registered number 521000).