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Caroline Urban

Senior Associate
Fax +44.(0)20.7648.9001
Caroline Urban is a senior associate in the firm’s London office where she is a member of the Corporate/M&A practice group. She has extensive experience of a full range of corporate matters, including acquisitions and disposals, as well as debt and equity financings in both public and private markets. Caroline also works with a number of SME technology companies in both the UK and Germany, recently advising a number of fintech clients on their compliance within the regulatory framework. She is a native speaker of German.

Professional Background

Prior to joining the firm, Ms. Urban was a solicitor at a British law firm where she focused on corporate and banking and financial services.

Professional/Civic Activities

  • Member of the German British Chamber of Commerce
  • Member of the British German Association
  • Member of the Law Society
  • Hosting the New York Financial Women’s Association during their Annual International Conference

Corporate & Banking

  • Acquisition of Landmark Services Limited by Isagri SAS - drafting SPA
  • Simultaneous bond issue for three companies on Danish GXG Main Quote Market - drafting the IM, Specialist Asset Manager Agreement, Offer Agreement and carrying out verification
  • Advised Clearbell Capital LLP on acquisition of DHL warehouse in corporate wrapper - due diligence, drafting SPA and conducting completion
  • £75m and another £25m discretionary portfolio management service under the Enterprise Investment Scheme - structuring the fund, drafting IM, carrying out verification, drafting Investment Consultancy Agreement, Investment Monitoring Agreement and approving IM as financial promotion under s.21 FSMA
  • £2m discretionary portfolio management service under the Seed Enterprise Investment Scheme, as above
  • Acquisition of Lochain Patrick Limited by Kaufman Financial Group
  • Advising on establishing first crowd funding platform for AIM listed companies (PrimaryBid.com) - drafting Terms & Condition, Privacy Policy, Website Terms & Conditions, Explanatory Notes for issuing companies on regulatory implications of offering its shares on the platform
  • Advising on establishing a Bitcoin trading platform - drafting T&Cs, PP Policy, Website T&Cs and, in particular advising on regulatory implications of derivative contracts and margin trading
  • Advising shareholder of public company (Euronext Brussels) on dispute with board of directors - advising, in particular, on implications of Takeover Code and DTR
  • Contributory article for DWF’s Start-Up blog (to be uploaded March 2015)
  • Initiating DWF to host Financial Women’s Association International Business Conference 25 March 2015


  • Advised Sword Group SE (Euronext Paris) on £4m takeover of Charteris Plc (AIM) - drafting Rule 2.7 Announcement, Offer Document and Irrevocable Undertakings
  • Advised Sword Group SE (Euronext Paris) on £12 million takeover by scheme of arrangement of Active Risk Group plc (AIM) - as above and liaising with counsel
  • Advised Worldsec Limited (Official List) on $4 million open offer and placing, reviewing and amending Tripartite Prospectus, Placing Agreement, Relationship Agreement and verification
  • Advised on sale of Product Authentication Inspectorate Limited to Kiwa BV, drafting SPA, Disclosure Letter, Transitional Services Agreement and documents for reduction of share capital
  • Advising on the set up and (one year later) sale of FundtheGap (crowd funding platform) to Darwin Strategic Limited, SPA
  • Single company fundraisings under the Enterprise Investment Scheme - IM, verification, Asset Manager Agreement, Promoter Agreement, Articles of Association with A/B share class structure
  • Acquisition of isango! Limited and its Indian subsidiary by TUI Travel Plc - managing DD and drafting DD report
  • Asset sale, hive up and bond issue for River Cottage Limited on behalf of Triodos Bank.
  • Bringing in potential instructions from Hanson Asset Management to advise on an EIS fundraise

Commercial Dispute Resolution

  • Representing the national radio and television broadcaster for Macedonia as defendant in a dispute against an Australian satellite service provider – managing specific disclosure process, document and evidence preparation, drafting witness statements, and assisting counsel in drafting skeleton arguments
  • Working on a $10mil restitution claim against Prince Al Waleed of Saudi Arabia – attending application hearings, drafting statements of costs, instructing counsel

Maritime & International Trade

  • Representing MTU as claimant in relation to unpaid aircraft engine maintenance and lease fees – drafting statement of costs, creating the hearing bundle and attending trial
  • Advising Ugland Marine Holdings on a dispute with Clarksons Plc for unpaid commission – settlement meeting, drafting letters before action and coordinating an extensive document review

Financial Services Regulation

  • Extensive review on compliance with MCOB of mortgage portfolio on behalf of DB Mortgages
  • Website review for regulatory compliance for comparethemarket.com
  • Advising Manchester Building Society on compliance of FCA Handbook Rules and fairness of amending interest rates
  • Contributory article for The Mortgage Adviser on the 2012 FCA Budget

Banking Litigation

  • £10m arbitration representing Catalyst Housing Association as the claimant against the London Borough of Barnet


  • Specialising in Aviation and Shipping - representing banks in financing and refinancing of aircraft and vessels with multi-jurisdictional aspects
  • $250mil Refinancing of 11 aircraft for Genesis Portfolio Funding Limited
  • Sale and leaseback of a portfolio of 10 aircraft for air berlin
  • Independently coordinated the closing of a restructuring transaction of 9 vessels for a Hong Kong SPV
  • Advising on a European Credit Agency financed aircraft sale and leaseback for Niki Luftfahrtgesellschaft