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Allen & Overy LLP
Bockenheimer Landstraße 2
Frankfurt am Main
60306
Germany

Telephone icon+49 69 2648 5310
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  Frank Herring

Of Counsel

Frankfurt

Frank is a leading expert in financial services regulation, with a special focus on the regulation of investment and asset managers. Together with his team, he advises clients on a broad range of regulatory requirements under the Investment Code (Kapitalanlagegesetzbuch), the German Banking Act (Kreditwesengesetz), Insurance Supervision Law (Versicherungsaufsichtsgesetz) and the Securities Trading Act (Wertpapierhandelsgesetz). In addition to his ongoing advisory work, he has acted as lead partner for many outsourcing and M&A transactions in the financial services area. His relevant experience includes advising a large number of German investment managers on the establishment, management and restructuring of open-ended investment funds.

Frank is recognised as a leading German investment funds lawyer by Juve, Legal 500 and PLC.

Praised for his "impressive expertise" and his "business sense," Frank Herring continues to dominate in regulatory, transactional and asset management matters. – Chambers Europe 2015

"Frank Herring is 'highly recognised' and seen as the figurehead of the practice, 'doing an excellent job'." – Legal 500 2015

 

Professional qualifications

Assessor, Germany, 1996

Admitted as German Rechtsanwalt, 1996

Published work

Loff/Herring (2012) "Die Verwaltung alternativer Investmentvermögen nach dem KAGB-E - Bestimmung der AIF-Kapitalverwaltungsgesellschaft, Master-AIF-KVG-Strukturen, Typenzwang und deren Auswirkungen auf die Verwaltung" Der Betrieb Nr. 36, 7.9.2012 (pages 2029-2036)

 Briefing Papers:

 Herring/Loff (2011) „AIFMD - Overview“

 Herring/Loff (2011) „AIFMD - Scope”

 Herring/Loff (2011) „Amendment of the Law Governing Investment Intermediaries and Capital Investment”

 Herring/Loff (2011) „Countdown to UCITS IV - Organisational Duties“

 Herring/Loff (2010) „PRIPs - Packed Retail Investment Product”

 Herring/Loff (2010) „Countdown to UCITS IV - The new Regime and the Key Investor Information”

 Herring/Loff (2010) „The new German Investor Protection Act”

 Herring/Loff (2007) „Best Execution under MiFID - A step by step guide”

 Herring/Loff (2007) „MiFID for EC-branches”

 Herring/Loff (2007) „MiFID- Inducements”

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