Dr. Caroline Herkströter is a lawyer specializing in investment and banking regulatory law in Frankfurt. The focus of her practice is securities and banking regulation as well as the regulation of investment funds. A particular emphasis lies on ESG-related topics, and in this context she is recognized as one of the leading experts in Germany.

She advises credit institutions and financial services providers, in particular investment and universal banks, AIF and UCITS management companies, as well as securities trading firms on all matters of German, European, and international investment, banking, and capital markets law. She has particularly specialized in the cross-border distribution of financial products, issues relating to clearing, settlement and global custody, as well as depositary business.

Dr. Caroline Herkströter advises on the launch and distribution of open-ended and closed-ended investment funds, in particular securities and real estate funds within Germany. Her areas of specialization also include prime brokerage, securities lending transactions, international securities custody, collateral management, and liability of investment advisors. The establishment and acquisition of German credit institutions, joint ventures, the extension of banking licenses and various international outsourcing projects, as well as the listing of funds on the Frankfurt Stock Exchange, are also part of her advisory work.

Dr. Caroline Herkströter also advises on regulatory issues in the field of FinTech and has developed particular expertise in the areas of blockchain and cryptocurrencies, including crypto custody, advising start-ups, payment providers, and financial institutions on regulatory matters related to the use of these technologies.

She leads the European practice as Head of Financial Services Regulatory.