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Heathcoat House
20 Savile Row
London W1S 3PR
United Kingdom
P: +44 (0) 20 7081 8037
E:
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Neil Robson, an associate in the London office, has extensive experience providing regulatory advice to funds and managers regarding Financial Services Authority (“FSA”) authorization and compliance; cross-border issues in the financial services sector, market abuse, anti-money laundering and regulatory capital requirements; formations and buyouts of financial services groups and structuring and marketing of investment funds; agreements with customers, custodians and service providers; and outsourcing arrangements.
Neil co-authored the chapter entitled “An Overview of Enforcement by the Financial Services Authority” for The Securities Enforcement Manual (2d Edition, American Bar Association, 2007). He has also written on regulatory matters for various professional trade publications, authored many client communications pieces and speaks frequently at conferences attended by attorneys and financial services professionals on developments in U.K. financial services regulation, including MiFID, short selling and market abuse.
Selected Representations
Provides non-contentious regulatory advice and assistance to banking, investment management, brokerage and other clients to ensure that they remain compliant with FSA rules and U.K. regulation. He also advises on a wide range of other U.K. financial services regulatory matters.
Advises corporate and mergers & acquisitions clients on a wide range of FSA regulation and U.K. financial services issues, including conducting regulatory due diligence for M&A clients in regulated sectors.
Advises on the establishment of FSA-regulated businesses in the U.K.
Advises on cross-border issues, including perimeter guidance advice to E.U. and U.S. businesses conducting cross-border business, or establishing a branch office, in the U.K., as well as advising on passport rights within the E.U. (the right for E.U. financial services firms to provide their services across E.U. borders).
Advises clients on regulatory capital requirements, including, for one client who proposed to diversify from stock-brokerage into a deposit-taking business, analysis of BIPRU large-exposure and capital adequacy rules.
Supports securities litigation and regulatory enforcement litigators on insider dealing and market abuse cases.
Was one of three principal lawyers for a Spain-based company in its €300 million acquisition of a Turkish company’s U.K.-, Turkey- and Romania-based subsidiaries, including negotiating the SPA and ancillary documentation, negotiating with lawyers from five different jurisdictions, and requiring extensive travel to Istanbul and Barcelona.
Served as principal lawyer for a variety of clients on the structuring of an AIM-listed private equity fund, an AIM-listed property fund and various emerging markets infrastructure funds, amongst others, including negotiating and drafting key agreements and assisting with the launch.
Selected Publications
“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 Law Report, 27 Oct. 2011 (co-author)
“Proposed Changes to Europe’s Derivatives Regulatory Structure: EMIR & MIFID II,” Bloomberg Law Reports — UK Financial Services Law, September 2011 (co-author)
“France, Spain, Italy, Belgium and Greece Extend Short Sale Bans on Financial Companies,” SRZ Client Alert Update, 25 Aug. 2011 (co-author)
“France, Spain, Italy, Belgium and Other Jurisdictions Impose Short Sale Restrictions on Financial Companies,” SRZ Client Alert, 12 Aug. 2011 (co-author)
“AIFM Directive — Publication of Final Text,” SRZ Client Alert, 5 July 2011 (co-author)
“Transposing UCITS IV into UK Law,” UK Financial Services Bloomberg Law Journal, April 2011 (co-author)
“Bribery Act 2010: Publication of Revised Guidance and Confirmed Implementation Date,” SRZ Client Alert, 11 April 2011 (co-author)
“FinCEN, OFAC, the UN, EU and UK Issue Advisories, Freeze Orders, Other Measures Related to Libya, Egypt and Tunisia,” SRZ Client Alert, 17 March 2011 (co-author)
“Bribery Act 2010 Update: Delay to Implementation,” SRZ Client Alert, 1 Feb. 2011 (co-author)
“FSA Remuneration Code Update: Final Rules and Application to Hedge Fund Managers,” SRZ Client Alert, 21 Dec. 2010 (co-author)
“FSA Makes Amendments to Telephone Taping Rules,” SRZ Client Alert, 22 Nov. 2010 (co-author)
“New FSA Policy on Prime Brokerage Client Assets,” SRZ Client Alert, 9 Nov. 2010 (co-author)
“FSA Remuneration Code Update: Delayed Publication of Final Rules on Remuneration,” SRZ Client Alert, 3 Nov. 2010 (co-author)
“FSA Remuneration Code, EU Guidelines on Remuneration Policies and Proportionality,” SRZ Client Alert, 21 Oct. 2010 (co-author)
“Proposed New Pan-European Rules on Short Selling,” SRZ Client Alert, 21 Oct. 2010 (co-author)
“Bribery Act 2010: Update — Guidance on Adequate Procedures,” SRZ Client Alert, 20 Oct. 2010 (co-author)
"Bribery Act 2010," The Hedge Fund Journal, September 2010 (co-author)
"UK Regulatory Regime," SRZ Client Memorandum, 13 Aug. 2010
“FSA Proposes to Extend Its Remuneration Code to UK-based Hedge Fund Managers,” SRZ Client Alert, 18 Aug. 2010
“FSA Asserts New Financial Stability Information-Gathering Powers,” SRZ Client Alert, 5 Aug. 2010
“FSA Recasts and Revises UK Rules on Short Selling,” SRZ Client Alert, 5 Aug. 2010
“An Overview of Enforcement by the Financial Services Authority,” The Securities Enforcement Manual (2d Edition, American Bar Association, 2007) (co-author)
Various client alerts and articles – including a paper on AIMA’s website on the passage of the Alternative Investment Fund Managers (“AIFMD”) Directive, and an article for MFA Reporter, a Managed Funds Association publication.
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Selected Speaking Engagements
“Spotlight on Compliance and Regulatory Issues,” SRZ European Distressed Debt and Claims Trading Webinar, 2 May 2012
“Regulatory & Compliance,” SRZ London Investment Management Hot Topics, 29 Feb. 2012
“What is Lurking on the International Regulatory Horizon, When Will it Hit the UK and What to do in Response?,” IMS Regulatory Forum, London, 25 Jan. 2012
“Compliance Spotlight,” SRZ 21st Annual Private Investment Funds Seminar, New York, 18 Jan. 2012
“Distressed Investing: European Bank Debt and Claims — Before You Say ‘Done,’” SRZ Conference, New York, 9 Nov. 2011
“Update on UK and US Insider Trading,” SRZ Webinar, 2 Nov. 2011
“US Regulatory Issues for Non-US Managers,” SRZ Audio Conference Series, 20 April 2011
“EU Short Selling Legislation,” HFMWeek UK Breakfast Briefing, London, 21 April 2011
“MiFID Review — A Summary for Alternative Fund Managers,” JP Morgan Webinar, 6 April 2011
“Compliance Spotlight,” SRZ 20th Annual Private Investment Funds Seminar, New York, 19 Jan. 2011
“Pan-European Short Selling Regime,” Citibank Client Conference Call, 17 Sept. 2010
“Spotlight on: AIFM,” HFMWeek Legal Summit, Sussex, UK, 15 Sept. 2010
Speaker at industry conferences on the subject of U.K. financial services regulatory developments, including the Markets in Financial Instruments Directive (“MiFID”), short selling and market abuse.
Webinar panelist on developments in U.K. financial services regulation (including MiFID, short selling, market abuse and other topics).
Presenter on financial services topics (including prospectus rules, market abuse, MiFID and the AIFMD) at internal training seminars.
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Bar Admissions
Education
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BPP Law School, LPC
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College of Law
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University College, M.A.
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Birkbeck College, University of London, Diploma
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University College of London, B.A.
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