Thorben Schlingmann
Thorben Schlingmann is an Associate in the disputes department in Frankfurt and focuses on financial services regulatory.
Thorben Schlingmann advises both German and international banks, financial institutions, securities institutions, insurance undertakings, and payment service providers on German and European financial regulatory law.
Experience & capabilities
Selected matters
- a multinational investment bank in connection with an internal investigation into alleged violations of insider trading rules and market manipulation. We support the internal investigation as well as the interaction with the relevant supervisory authorities (BaFin in Germany, FCA in the UK, and SEC in the US)
- advising an international investment bank in connection with internal investigations as well as legal advice and defense in ongoing Cum-Ex proceedings involving the ECB as European supervisory authority
- a pan-European financial conglomerate in connection with internal investigations into alleged criminal law violations and potential anti-competitive conduct. We advise on the regulatory implications and interaction with BaFin and the ECB
- a global investment bank in connection with implementing a new global KYC process to improve efficiency. We advised on AML law as well as data privacy aspects and provided an extensive proof of concept and ongoing assistance on AML obligations in multiple jurisdictions to provide a compliant KYC structure in the pilot jurisdictions
Sectors
Background
Thorben Schlingmann graduated in law at the Johann Wolfgang Goethe-University in Frankfurt am Main and completed his legal clerkship at the Regional Court of Frankfurt am Main. Before joining as an Associate in 2024, he worked as a Research Assistant for the Corporate Crime and Investigations Team at the firm. During his legal clerkship, he worked at Herbert Smith Freehills Kramer in London and at the ECB.
He speaks English in addition to his native German.
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