Caroline Stratton

Background

About Caroline Stratton

I head up the DWS EMEA Passive Asset Management Legal Team in London. The team comprises 4 lawyers in London and 5 in Berlin. I have extensive experience in setting up investment funds, including ETFs under DWS' well known "Xtrackers" platform. I advise on all aspects of the creation of a new fund from initial structuring and UCITS eligibility to launch, marketing and distribution. I also have extensive experience in restructuring funds such as amending investment objectives and mergers. i also support the DDGLS money market fund platform, Xtrackers precious metals ETC platform and UK mandate business. I have implemented a number of regulatory changes relating to UCITS IV/V, EMIR, FATCA, MIFID II, Benchmark Regulation, Dodd Frank, SFTR, SFDR and PRIIPS. I also headed up the Legal support in relation to contingency planning for Brexit. I have good knowledge of ISDA and securities documentation and have previously worked on repackaging, fund-linked products and hedge fund financings. I am actively involved in promoting Diversity, Equity and Inclusion having been the Deutsche Bank UK Legal Representative for two years and currently being a member of DWS' D, E and I Council and participating in groups promoting gender diversity and social mobility. I organised the internship for students from lower socioeconomic backgrounds at DWS in April 2022. I