Moulton, Rob

Rob Moulton

Partner

rob.moulton@lw.com
    Moulton, Rob

    Rob Moulton

    Partner

    rob.moulton@lw.com
    "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

    Hall of Fame – Financial Services: Regulatory

    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

    "Truly excellent and provides top regulatory advice on a range of issues in the financial services sector."

    The Legal 500 UK 2023

    "Rob consistently provides reliable and thoughtful advice with respect to regulatory questions."

    Chambers UK 2022

    "He's very calm and considered, he gives you confidence in what he's advising and he's someone we go to for complex questions."

    Chambers UK 2022

    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 

    Qualifications

    Bar Qualification

    • England and Wales (Solicitor)

    Education

    • LPC, Nottingham Trent University, 1995
      with distinction
    • LLB, University of Nottingham, 1994

    Practices

    Industries

    News & Insights

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