Dr. Caroline Herkströter is an investment and banking regulation partner based in Frankfurt.
Caroline advises credit institutions and financial services providers, especially investment and universal banks, AIF and UCITS management companies and securities trading firms on all aspects of German, European and international banking and capital markets law. In this connection, she acquired specific knowledge of the cross-border distribution of financial products, and of issues related to the clearing, settlement and global custody or the depositary business.
Caroline advises on the launch and distribution of open- and closed-ended investment funds, especially securities and real estate funds within Germany. She also specialises in prime brokerage, securities lending, international securities custody, collateral management and investment advisor liability. In addition, she provides advice on the establishment and acquisition of German credit institutions, joint ventures, the extension of banking licences and several (global) outsourcing projects as well as on the listing of funds at the Frankfurt stock exchange.
Caroline joined the Frankfurt office as a partner in March 2007. She is a native German speaker and is fluent in English and French.
AIFMD, MiFID II, PRIIPs, Basel III, Solvency II, Neuerungen im Bereich Geldwäsche, neue Melde- und Wohlverhaltenspflichten - in den letzten Jahren erfährt die Fina...
December 11, 2014
Der Networking-Aspekt wird selbstverständlich nicht fehlen, im Anschluss besteht Raum für Diskussionen, Gespräche und weiteres Kennenlernen..
November 26, 2014
The legislative texts that will amend the Markets in Financial Instruments Directive (MiFID) have now been approved..
October 15, 2014
MiFID II and third country provisions: establishment of branches, registration by ESMA, transitional provisions and exclusive initiative of the client..
October 13, 2014
Norton Rose Fulbright advised CACEIS banking group, which belongs to Crédit Agricole, on the takeover of Sal. Oppenheim’s asset depositary activities....
May 30, 2014
The Frankfurt office of global legal practice Norton Rose Fulbright has moved into the TaunusTurm, effective today..
March 24, 2014