Norton Rose Fulbright LLP
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Dr. Caroline Herkströter is an investment and banking regulatory lawyer based in Frankfurt. Her main focus is on securities, banking regulation as well as the regulation of investment funds.
Caroline advises credit institutions and financial services providers, including investment and universal banks, AIF and UCITS management companies and securities trading companies on all aspects of German, European and international investment, banking, and capital markets law. In particular, she focuses on the cross-border distribution of financial products, and issues related to clearing, settlement and global custody and depositary services.
Caroline advises on the establishment and distribution of open- and closed-ended investment funds, particularly securities and real estate funds within Germany. Her experience also includes prime brokerage, securities lending, international securities custody, collateral management, and investment advisor liability. Additionally, Caroline advises on the establishment and acquisition of German credit institutions, joint ventures, the extension of banking licences and global outsourcing projects as well as the listing of funds on the Frankfurt Stock Exchange.
Caroline joined the Frankfurt office as a partner in 2007. From October 2015 to June 2019, she was head of the legal department at DekaBank and returned to the firm as a partner in August 2019.