Rob Moulton

  • Partner
  • Erob.moulton@lw.com
  • 99 Bishopsgate
  • London EC2M 3XF
  • United Kingdom
  • T +44.20.7710.4523
  •  
 

Profile

Rob Moulton is a partner in the London office of Latham & Watkins and Global Co-Chair of both the firm's Financial Institutions Group and Financial Regulation Practice.

Mr. Moulton specializes in financial services regulatory advice and has vast experience advising investment banks, governments, corporate finance houses, clearing houses, fund managers, insurers, stockbrokers, and online trading business on a variety of legal and regulatory risk management matters. He has particular expertise in the FCA’s Conduct of Business Rules, European regulatory developments such as MiFID and MAR, and contested enforcement actions.

Mr. Moulton is recognized as a “leading individual” in The Legal 500 for financial services non-contentious regulatory.

Experience

Mr. Moulton’s recent highlights have included advising:

  • The underwriters on the initial public offering of Saudi Arabian Oil Company (Saudi Aramco), the largest IPO in history
  • Thomas Cook on the financial services implications of their collapse
  • A leading US investment bank on compliance with the new Benchmarks Regulation, including in its sensitive role as the administrator of a number of benchmarks
  • Numerous banks and other financial services clients in relation to important MiFID preparation and implementation projects
  • Senior managers of a number of investment banks in relation to the FCA’s Senior Managers Regime
  • A series of asset managers on their responsibilities under AIFMD
  • An investment bank on issues arising from a market abuse investigation
  • An investment bank on issues arising following a review of its CASS processes
  • An investment bank on its global approach to product governance in light of MiFID II
  • An investment bank on the regulatory aspects of the acquisition of another FCA regulated firm
  • A private bank reviewing the effectiveness of its suitability processes
  • A series of firms on compliance with the PRIIPs regime
  • A number of benchmark administrators on compliance with BMR
  • A structured products manufacturer on compliance with the MiFID Product Governance requirements
  • A number of firms on developments in the investment research industry such as the use of big data
  • A number of global banks on cross-border and extra-territorial aspects of finance services regulation, including relating to Brexit

Thought Leadership

  • HM Treasury Consults on Post-EU Financial Services Regulatory Framework -  October 26, 2020
  • UK Firms Granted Extra 15 Months for Brexit Onshoring Preparations -  October 14, 2020
  • Private Bank Briefing: Issues Impacting the Private Bank Sector -  September 2020
  • The MAR Review — ESMA’s Final Report -  September 24, 2020
  • MAR and Sustainable Investing / ESG -  September 15, 2020
  • European Commission Proposes Changes to MiFID II Due to COVID-19 -  July 31, 2020
  • Equator Principles Association Issues COVID-19 Guidance for Lenders and Borrowers -  July 02, 2020
  • Private Bank Briefing: Issues Impacting the Private Bank Sector -  July 02, 2020
  • UK Decides Against Implementing Certain Key Areas of EU Financial Services Legislation -  June 26, 2020
  • Senior Manager Responsibilities in the COVID-19 Pandemic -  June 25, 2020
  • FCA Consults on Post-Brexit Prudential Regime for Investment Firms -  June 24, 2020
  • FCA Fails to Find Its Watersheds Moment in Adams v. Options SIPP UK LLP -  June 18, 2020
  • ESMA Draft Guidelines on Outsourcing to Cloud Service Providers -  June 16, 2020
  • MiFID’s Transparency Rules: ESMA Confirms Equivalence of Numerous Non-EU Venues -  June 15, 2020
  • UK Firms Should Share Customer Information Cross-Border Intra-Group to Fight Money Laundering and Terrorist Financing -  May 22, 2020
  • UK Government Publishes Draft UK-EU Free Trade Agreement With Financial Services Chapter -  May 21, 2020
  • European Commission Publishes Draft Delegated Regulations on ESG Disclosures in Benchmarks -  May 04, 2020
  • COVID-19: FCA Delays Implementation of SCA Under PSRs 2017 -  May 04, 2020
  • FCA Announces Additional Primary Market Measures to Support Listed Companies -  April 09, 2020
  • COVID-19: Key UK Business Measures — State of Play -  April 07, 2020
  • COVID-19: PRA Welcomes Suspension of Dividends, Share Buybacks, and Cash Bonuses -  April 06, 2020
  • COVID-19: FCA Dear CEO Letter to Firms Providing Services to Retail Investors -  April 06, 2020
  • FCA and PRA Statement on SM&CR and COVID-19: Expectations of Dual-Regulated Firms -  April 06, 2020
  • FCA and PSR Support CMA’s Guidance on Business Cooperation Under Competition Law -  April 06, 2020
  • New Draft Regulatory Technical Standards Under the EU Benchmarks Regulation -  March 31, 2020
  • Changes to Reporting Requirements for Issuers in Light of COVID-19 -  March 27, 2020
  • COVID-19 Bank Lending Relief Measures -  March 27, 2020
  • Private Bank Briefing: Issues Impacting the Private Bank Sector  -  March 26, 2020
  • EU Regulators Outline Approach to Remote Working During COVID-19 Crisis -  March 26, 2020
  • Preliminary Financial Accounts — the FCA’s Moratorium “Request” -  March 25, 2020
  • FCA Issues Guidance on Key Workers in Financial Services -  March 25, 2020
  • Bank of England Announces Measures to Address Challenges of COVID-19 -  March 23, 2020
  • HM Treasury Responds to the Call for Evidence on Regulatory Coordination -  March 19, 2020
  • FCA Sets Out Its Expectations of Firms’ Response to COVID-19 -  March 18, 2020
  • FCA Breaks Ranks in Its Approach to Using Wholesale Data -  March 12, 2020
  • FCA Proposes New Rules on Climate-Related Disclosures by Listed Issuers -  March 12, 2020
  • FCA Calls on Firms to Develop a Purposeful Culture -  March 06, 2020
  • Alternative Data: Regulatory and Ethical Issues for Financial Services Firms to Consider -  March 04, 2020
  • MiFID Refit — Commission Consults on Review of MiFID II Framework -  February 27, 2020
  • ESMA Provides Its Input on the BMR Review -  February 20, 2020
  • AMF Proposals to Revive the Research Industry in France -  February 19, 2020
  • Key Takeaways from ESMA’s recent MiFID Transparency Consultation Papers -  February 14, 2020
  • Sustainable Finance and Climate Change Risk in Financial Services -  February 06, 2020
  • Regulator Raises Concerns Over Alternative Data -  January 31, 2020
  • Third-Country Firms Operating Cross-Border Into the EU — Upcoming Reform -  January 14, 2020
  • FCA Consults on SMCR for Benchmark Administrators -  December 03, 2019
  • Private Bank Briefing: Issues Impacting the Private Bank Sector  -  December 02, 2019
  • ESAs Consult on Amendments to the PRIIPs KID -  November 25, 2019
  • FCA Warns Firms of Conduct Risk During LIBOR Transition -  November 22, 2019
  • SEC Extends Relief From MiFID II Research Unbundling Provisions -  November 15, 2019
  • PRIIPs and Corporate Bonds — Clarity at Last? -  October 31, 2019
  • Review of the EU Benchmarks Regulation -  October 17, 2019
  • ESMA’s Consultation Paper on the MAR Review -  October 11, 2019
  • Research Unbundling — FCA Finds Rules Working Well -  September 23, 2019
  • Key Emerging Regulatory Issues and Focus Areas for Institutional Asset Managers -  September 19, 2019
  • FCA Warns of ‘Significant Weaknesses’ in Firms’ Implementation of the Conduct Rules -  August 05, 2019
  • FCA Confirms SMCR Optimisations -  July 26, 2019
  • HM Treasury Kicks Off Financial Services Future Regulatory Framework Review -  July 22, 2019
  • 10 Key Regulatory Focus Areas for UK/European Wholesale Markets in 2019 – Progress Report -  July 02, 2019
  • EU Kicks Off MAR Review -  May 16, 2019
  • FCA Fires Warning Shot to Brokers in Wholesale Markets -  April 30, 2019
  • MiFID II Costs and Charges — Room for Improvement -  March 01, 2019
  • FCA Publishes Policy Statement Extending Rules to Payment Services and E-Money Sectors  -  February 21, 2019
  • Brexit and Financial Services — FCA Issues Further Guidance for Firms -  February 01, 2019
  • Regulating Crypto-assets and ICOs? ESMA and EBA Consider the Benefits -  January 24, 2019
  • FCA Consults on Further Amendments to the SMCR -  January 23, 2019
  • Brexit and Financial Services — UK Equivalence Decisions -  January 21, 2019
  • European Commission Report on the Operation of the AIFMD -  January 15, 2019
  • 10 Key Regulatory Focus Areas for UK/European Wholesale Markets in 2019 -  January 09, 2019
  • Brexit and Financial Services — Temporary Permissions -  December 18, 2018
  • FCA Finalises Changes to its Financial Crime Guide -  December 14, 2018
  • UK Scores Highly on Anti-Money Laundering Review -  December 14, 2018
  • FCA Proposes Permanent Product Intervention Measures for Retail CFDs and Binary Options -  December 07, 2018
  • FCA to Clarify Scope of the Client Dealing Function -  November 30, 2018
  • Brexit and Financial Services — Onshoring MiFID II -  November 05, 2018
  • UK Cryptoassets Taskforce Publishes its Final Report -  October 31, 2018
  • A New Sheriff in Town? UK MPs Call for Regulation of “Wild West” Crypto-assets  -  September 20, 2018
  • First Details of Brexit Temporary Permissions Regime Published — Key Questions Answered -  July 27, 2018
  • Regulators Publish Final Rules on SMCR Extension -  July 04, 2018
  • UK Fair and Effective Markets Review Progress Report — A One-Stop Shop  -  June 01, 2018
  • The MiFID II Inducements Regime -  May 08, 2018
  • Global Developments on Best Execution -  May 03, 2018
  • Commission Publishes Study of EU Market in Retail Investment Products -  April 30, 2018
  • Cricket’s Ball-Tampering Scandal: 10 Lessons for Financial Services -  April 20, 2018
  • Next Steps in the Asset Management Market Study -  April 05, 2018
  • FCA Proposes New Guidance on Financial Crime Systems and Controls -  March 28, 2018
  • Transforming Culture in Financial Services — The FCA Renews Its Approach -  March 16, 2018
  • FCA Sets Expectations on Algorithmic Trading -  February 27, 2018
  • FCA Confirms Reform to the UK IPO Process -  November 21, 2017
  • ESMA Highlights EU Regulatory Rules Applicable to ICOs -  November 17, 2017
  • MiFID II Research Unbundling — Crisis Averted? -  November 16, 2017
  • Latest Views From the FCA on Market Abuse -  November 15, 2017
  • Regulatory Sandboxes — a Global Stocktake -  November 13, 2017
  • ESMA Clarifies Third Country Transitionals Under the EU Benchmarks Regulation -  November 09, 2017
  • MiFID II Research – Relief at Last? -  October 26, 2017
  • The (Potentially) Long Arm of the SMCR -  August 24, 2017
  • Policing the Robots — Robo-Advice Under MiFID II -  July 28, 2017
  • FCA Publishes Long-Awaited Consultation Papers on the Extension of the SMCR -  July 27, 2017
  • The UK Financial Conduct Authority Bans Use of Certain Restrictive Contractual Clauses -  July 11, 2017
  • MiFID II – Second Policy Statement and Further Consultation -  July 05, 2017
  • Clarifications to Key Concepts Under The EU Benchmarks Regulation -  June 30, 2017
  • FCA Seeks to Reform UK Asset Management Sector -  June 29, 2017
  • FCA Consults on UK Implementation of EU Benchmarks Rules -  June 22, 2017
  • Benchmarks Update -  June 14, 2017
  • ESMA Final Report on MiFID II Product Governance Requirements -  June 05, 2017
  • Significant Updates to ESMAs Q&A on MiFID II Market Structures -  April 07, 2017
  • FCA’s Latest Papers on the Implementation of MiFID II -  April 03, 2017
  • Proposals to Shake Up the UK IPO Timetable -  March 30, 2017
  • Theresa May’s 12 Brexit Principles – and What They Mean for Financial Services  -  January 18, 2017

Visit the London Financial Regulatory Portal – A comprehensive resource to help navigate regulatory reforms.


Rob Moulton is “well regarded for his work assisting clients with substantial matters in the non-contentious regulatory space.” Clients praise his “incredible wealth of knowledge,” particularly on the finer points of financial regulation, and also appreciate his “tremendous level of maturity and understanding.”

Chambers UK 2019
Bar Qualification
  • England and Wales (Solicitor)
Education
  • L.P.C., Nottingham Trent University, 1995
    Distinction
  • LL.B., University of Nottingham, 1994
Industries
  • Financial Institutions
Practices
  • Capital Markets
  • Banking
  • Financial Regulatory