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. Having a particular focus on ESG related issues, Caroline is recognised as one of the leading experts in Germany with regard to ESG.
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 on the listing of funds on the Frankfurt Stock Exchange.
Caroline also advises on FinTech regulatory matters and she has developed particular knowledge of blockchain and cryptocurrencies including crypto-custody, and advises start-ups, payments providers and financial institutions on the regulatory issues related to the deployment of these technologies.
She heads the European practice as Head of Financial Services Regulatory.
DLA Piper is a global law firm operating through various separate and distinct legal entities. For further information about these entities and DLA Piper's structure, please refer to the Legal Notices page of this website. All rights reserved. Attorney advertising.
Unsolicited e-mails and information sent to DLA Piper or the independent DLA Piper Relationship firms will not be considered confidential, may be disclosed to others, may not receive a response, and do not create a lawyer-client relationship with DLA Piper or any of the DLA Piper Relationship firms. Please do not include any confidential information in this message. Also, please note that our lawyers do not seek to practice law in any jurisdiction in which they are not properly permitted to do so.