Neil Robson

Partner
neil.robson@kattenlaw.co.uk
London Office
p+44 (0) 20 7776 7666
Overview

Neil Robson, a regulatory and compliance partner with Katten Muchin Rosenman UK LLP, focuses his practice on counseling hedge and private equity fund managers, investment advisers, broker dealers and proprietary traders on operational, regulatory and compliance issues. He regularly addresses Financial Conduct Authority (FCA) and EU authorization and compliance issues under EU directives, cross-border issues in the financial services sector, financial crime (including market abuse, money laundering and bribery), regulatory capital requirements, regulatory reporting and disclosure obligations, formations and buyouts of financial services groups, and structuring and marketing (financial promotions) of investment funds and other financial services products and securities.

Neil is often mentioned in the media and he is a frequent speaker at industry conferences regarding developments in UK financial services regulation, including the Alternative Investment Fund Managers Directive (AIFM Directive), MiFID II, short selling and market abuse.

Shown below is a selection of Neil’s engagements.

Experience
  • Representation of UK and other fund managers in relation to the impact of the AIFM Directive on their ongoing operations including authorization/registration, delegation, restructuring, marketing, disclosure and remuneration issues.
  • Provision of advice to an activist fund manager in connection with its UK acquisitions, including reporting issues under UK takeover rules, concert party issues and negotiations with the UK Panel on Takeovers and Mergers.
  • Representation of US proprietary trading firms in establishing UK subsidiaries, obtaining FCA-authorized status in the United Kingdom and passporting cross-border within the European Union.
  • Provision of advice to numerous start-up managers in connection with the structuring, establishment and FCA authorization of their UK operations.
  • Representation of a significant UK-based commodity trading adviser in restructuring its management operations so as to limit (1) FCA regulatory capital requirements and (2) the impact of the AIFM Directive, with the establishment of a non-EEA AIFM entity and appropriate levels of overseas substance so as to meet minimum regulatory requirements.
  • Provision of advice to an institutional investment manager in connection with the impact of EU and international sanctions on its business.
  • Provision of advice on the structure of a new UK crowd-funding business, including the FCA regulatory regimes.
  • Provision of advice to clients on financial crime, bribery and corruption prevention, including staff training and implementing protective measures in the form of adequate procedures, due diligence and contractual protections.

Recognition

2015 Lexology Client Choice Award, Client Choice, UK Capital Markets, 2015
Super Lawyers Rising Stars, 2013–2014
HFM European Hedge Fund Services Award, 2015
Legal 500 - UK Individual, 2014–2015
Who's Who of Private Funds Regulatory (England), 2016
Articles
November/December 2012
Co-author, FSA Conflicts of Interest Safeguards, The Hedge Fund Journal
November 2012
Author, Preparing for Compliance With the AIFM Directive, Financier Worldwide
September/October 2012
Co-author, New European Rules on Short Selling, The Hedge Fund Journal
October 27, 2011
Co-author, The Impact of Asymmetric Information, Trade Documentation, Form of Transfer and Additional Terms of Trade on Hedge Funds' Trade Risk in European Secondary Loans, The Hedge Fund Journal
September 2011
Co-author, Proposed Changes to Europe's Derivatives Regulatory Structure: EMIR & MiFID II, Bloomberg Law Reports – UK Financial Services Law
May 2011
Co-author, Transposing UCITS IV Into UK Law, Bloomberg UK Financial Services Law Journal
February 2011
Co-author, FSA Remuneration Code Update: Final Rules and Application to Hedge Fund Managers, The Hedge Fund Journal
September 2010
Co-author, Bribery Act 2010: The UK's New Anti-bribery and Corruption Law and Its Interaction With the US Foreign Corrupt Practices Act, The Hedge Fund Journal
Books
October 2013
Co-author, Hedge Funds: Formation, Operation and Regulation
Newsletters
Weekly
Author | Corporate & Financial Weekly Digest 
Firm News
Presentations
February 25, 2014
Panelist | UK and European Regulatory Developments — To AIFMinity and Beyond | Cordium Annual Regulatory Forum | London, United Kingdom
October 25, 2013
Panelist | Clarifying the Position on Fund Marketing Under AIFMD | Infoline Hedge Fund Regulation & Compliance Forum | London, United Kingdom
September 16–18, 2013
Panelist | AIFMD — Marketing With and Without the Passport | HFMWeek European Operational Leaders Summit | Bagshot, Surrey
June 18, 2013
Panelist | Marketing Under the Passport Regime and Managing Funds by Delegation: AIFMD Delegation Rules | FRA Preparing for the AIFMD | New York, New York
January 23, 2013
Panelist | European Regulatory Developments | IMS Regulatory Forum | London, United Kingdom
January 15, 2013
Panelist | Compliance Spotlight | SRZ 22nd Annual Private Investment Funds Seminar | New York, New York
January 25, 2012
Panelist | What is Lurking on the International Regulatory Horizon, When Will it Hit the UK and What To Do in Response? | IMS Regulatory Forum | London, United Kingdom
April 21, 2011
Panelist | EU Short Selling Legislation | HFMWeek UK Breakfast Briefing | London, United Kingdom
September 15, 2010
Panelist | Spotlight on: AIFM | HFMWeek Legal Summit | Sussex, United Kingdom

Education

  • LPC, BPP Law School
  • MA, University College London
  • BA, University College London

Bar Admissions

  • England and Wales

Recognition

Client Choice, UK Capital Markets, 2015
2013–2014
2015
2014–2015
2016
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