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Frank Herring

Of Counsel

Frankfurt am Main

Herring Frank
Frank Herring

Of Counsel

Frankfurt am Main

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

News & insights

Publications: 27 JANUARY 2020

Key Regulatory Topics: Weekly Update 17 January - 23 January 2020

Allen & Overy publish weekly updates on key regulatory topics affecting the financial services sector. 

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Key regulatory topics

Publications: 22 JANUARY 2020

Key Regulatory Topics: Weekly Update 10 January - 16 January 2020

Allen & Overy publish weekly updates on key regulatory topics affecting the financial services sector. 

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Publications: 20 JANUARY 2020

Inactive entities are about to be removed from the Luxembourg trade and companies register

Following the statement issued by the Luxembourg Ministry of Justice in December 2019[1] , the Luxembourg Business Registers (LBR) confirmed on 13 January 2020 that it will start removing inactive entities from the Luxembourg trade and companies register. 

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Publications: 19 FEBRUARY 2019

How should Europe’s non-bank lending market be regulated?

​Non-bank lending in the European Union is becoming an ever more significant source of financing for business. In light of its increasing importance to Europe’s economy, policymakers are re-evaluating their approach to this market and considering whether the existing regulatory framework remains appropriate.

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Office

Frankfurt am Main

Allen & Overy LLP
Bockenheimer Landstraße 2
60306 Frankfurt am Main

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Qualifications

Professional

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”