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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: 04 DECEMBER 2019

IT and operational failures: financial services in the spotlight

There is unprecedented demand for and use of technology in the financial services sector.  However, greater reliance on technology brings with it increased levels of risk.  In particular, IT incidents and even brief disruptions to digital services may have a significant impact on clients and the markets.

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Ground level view of a modern high-rise building

Publications: 02 DECEMBER 2019

Important clarifications for the Luxembourg fund industry on AML CFT requirements

Taking into account the results of the Luxembourg national risk assessment which classifies the fund industry as high ML/FT risk, the CSSF clarifies that Luxembourg regulated funds, like Luxembourg investment fund managers (IFMs), are required to appoint two persons in charge of AML/CFT. 

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Publications: 29 NOVEMBER 2019

French law paves the way for the digital assets services providers regulation

Over the last few years, digital assets did not appear to fall within scope of French law or regulation as they could not be characterised as currency, electronic money, financial instruments nor – on a more fundamental level – was there a clear sense of whether digital assets were merely data or some type of intangible property. 

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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
Frankfurt am Main
60306

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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”