Rob Moulton is a partner in the London office of Latham & Watkins and Co-Chair of the firm's Financial Institutions Industry Group. Mr. Moulton specializes in financial services regulatory advice and has vast experience advising financial institutions and market infrastructure providers on a wide range of complex domestic and cross-border regulatory issues.
Mr. Moulton advises 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, with particular expertise in the FCA’s Conduct of Business Rules, Market Abuse Regulation, European regulatory developments such as MiFID, and contested enforcement actions.
Mr. Moulton is recognized as the “leading individual” in The Legal 500 for financial services non-contentious regulatory.
Mr. Moulton’s recent highlights have included advising:
- 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
- A leading international investment bank in relation to a LIBOR/FX investigation*
- A foreign exchange broker on its administration following Swiss Currency unpegging*
*Matter handled prior to joining Latham