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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).

Frank is a lecturer at the Institute for Law and Finance at the Johann Wolfgang Goethe University in Frankfurt since 2015.

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

"hold him in high professional esteem" (competitor) - JUVE HANDBOOK 2019/2020

"enjoys an excellent reputation in the market" - Legal 500 2019

News & insights

Regulatory Monitoring

Publications: 01 SEPTEMBER 2020

Regulatory Monitoring - relevant developments regarding German and European regulatory law

Our monthly regulatory newsletter monitors all relevant developments regarding German and European regulatory law in English language.

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Lines of coloured lights

Publications: 15 JUNE 2020

Great Secondaries – Liquidity from PE and other illiquid asset fund investments

Looking beyond Covid-19, investors want to understand how they can reshape their private equity and illiquid asset fund portfolios. 

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Great Expectations – IBOR transition for Funds and Asset Managers

Publications: 08 JUNE 2020

Great Expectations – IBOR transition for Funds and Asset Managers

Fund and asset managers will need to carefully consider the impact of the IBOR transition on their business and take action significantly before the end of 2021 to enable them to properly prepare. 

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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…

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Expertise

Practices

Financial Services Regulation

Funds and Asset Management

Alternative Investments

Sectors

Financial Institutions

Office

Frankfurt am Main

Allen & Overy LLP
Bockenheimer Landstraße 2
60306 Frankfurt am Main

View office →

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”