Rob Moulton

rob.moulton@lw.com

+44.20.7710.4523

Financial Regulatory

"A great lawyer. He is proactive, responsive, and he gives pragmatic advice. Rob is very easy to work with and has a quick turnaround."

Chambers UK 2025

"Gives incredibly sensible answers in minutes. He is incredibly pragmatic, and knowledgeable about the financial services industry."

Chambers UK 2025

'"Reliable, expert and available to support at short notice. Highly recommend."

The Legal 500 UK 2025

Ranked – Financial Services: Non-contentious Regulatory

Chambers UK 2025

Hall of Fame – Financial Services: Regulatory

The Legal 500 UK 2025

"What I really like about Rob is that he makes everything relatable, taking complex legal issues and making them straightforward."

Chambers UK 2024

"An all-round technical and commercially aware lawyer."

Chambers UK 2024

"Noted for his expertise in European regulatory developments, such as MiFID and MAR."

The Legal 500 UK 2024

"Rob is the lawyer you want by your side. He provides the ultimate reassurance to my executive team. He's always pragmatic, thoughtful and insightful."

Chambers UK 2023

"A go-to adviser. He's excellent at giving a view and breaks it down for a non-regulatory lawyer really well."

Chambers UK 2023

Profile

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

He is recognized in the Hall of Fame in The Legal 500 for financial services non-contentious regulatory.

Experience

Rob’s experience includes advising:

AllianceBernstein, a leading global investment management and research firm, on the formation of its joint venture with Société Générale
The underwriters on the initial public offering of Saudi Arabian Oil Company (Saudi Aramco), the largest IPO in history
Numerous banks and other financial services clients in relation to important MiFID preparation and implementation projects
A number of firms on developments in the investment research industry, such as the use of big data
Numis on the regulatory aspects of its acquisition by Deutsche Bank
A clearing bank on enforcement proceedings brought by the PRA and FCA
Panmure Gordon and Liberum Capital on the regulatory aspects of their merger
Syndicate banks on the US$1.085 billion refinancing of Aston Martin
Thomas Cook on the financial services implications of their collapse
A leading US investment bank on compliance with the new Benchmarks Regulation
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
A private bank reviewing the effectiveness of its retail suitability processes
A number of global banks on cross-border and extra-territorial aspects of finance services regulation, including relating to Brexit