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.
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
- 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 financial services regulation, including relating to Brexit