Robert A. Robertson

robert-robertson

Robert A. Robertson

Partner

Orange County | 650 Town Center Drive, Suite 700, Costa Mesa, CA 92626-1905
+1 949 442 6037 | +1 949 442 6010

New York | Three Bryant Park, 1095 Avenue of the Americas, New York, NY 10036-6797
+1 212 649 8718 | +1 212 698 3599

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Robert A. Robertson is resident in and managing partner of the firm’s Orange County office, and resident in the firm’s New York City office. With 30 years of legal experience, he represents clients in the areas of investment management, corporate and securities law, regulatory investigations and SEC defense. He regularly counsels investment advisers, mutual funds, closed-end funds, boards of directors, broker-dealers, insurance companies and institutional investors.

Mr. Robertson served as an attorney with the Securities and Exchange Commission from 1990 through 1997, where his most recent position was counselor to Commissioner Isaac C. Hunt, Jr. He is a frequent lecturer and has written a treatise on fund governance and numerous articles on securities law topics. His articles have been published in: Business Law TODAY; the Business Lawyer; the George Mason Civil Rights Law Journal; the Investment Lawyer; the Journal of Investment Compliance; Law360; the Stanford Journal of Business, Law & Finance; the Review of Securities & Commodities Regulation; the National Law Journal; and the Washington Post.

Prior to joining Dechert, Mr. Robertson was in private practice in New York City. He also served as an attorney with the Office of the Counsel to the President at The White House during the George H.W. Bush Administration.

Education
  • Claremont McKenna College, B.A., 1981
  • Loyola Marymount University, MBA, 1983
  • UCLA School of Law, J.D., 1987
Admissions
  • California
  • New York
Memberships
  • Vice Chair, American Bar Association’s Subcommittee on Investment Advisers and Investment Companies
  • Member, Society of Investment Law
Speaking Engagements
  • Current Issues in Investment Management: Discussion with the Division Director — American Bar Association Business Law Section Fall Meeting, Washington, D.C. (November 18, 2016)

During the program, Robert Robertson speaks on a panel titled “Current Issues in Investment Management: Discussion with the Division Director.” The panel discusses current regulatory and litigation related “hot topics” in the investment management industry.

  • Reports of the Death of Money Market Mutual Funds: Greatly Exaggerated? — American Bar Association Business Law Section Spring Meeting, Montreal (April 7, 2016)

Robert Robertson speaks on a panel titled "Reports of the Death of Money Market Mutual Funds: Greatly Exaggerated?"

  • Alternative Investment Management: Surviving an SEC Examination — ABA Annual Meeting (Federal Regulation of Securities Committee), San Francisco, CA (August 9, 2013)
  • 2013 Regulatory Landscape — CFA Society Orange County, Newport Beach, CA (February 27, 2013)

The panel discusses the lessons that can be learned from a reinvigorated SEC enforcement staff, the implications of the current regulatory environment and addresses steps you need to take to adjust your compliance practices.

  • Regulatory and Enforcement Trends in Investment Management — American Bar Association, Section of Business Law Fall Meeting, Washington, DC (November 18, 2011)
  • Impact of the Dodd-Frank Act on Registered Investment Companies and Advisers — Orange County Bar Associations' Banking & Lending Section Meeting, Newport Beach, CA (October 18, 2011)
  • Regulation of Investment Companies -What Pooled Investments are Not Covered? — Third Annual National Institute on Investment Management Basics, Boston, MA (October 13, 2010)
  • Retirement Investment Security: A Year in Review and Future Policy Implications — ABA and The Committee on Investment Services and the Committee on Federal Regulation of Securities/ ABA Fall Meeting 2008, Washington, DC (November 21, 2008)
  • Securities Law and Regulation — NBA's Corporate Law Section/ 83rd Annual National Bar Association, Houston, TX (July 30, 2008)
  • The Changing Role of Fund Boards — Deal Activity in the Asset Management Industry, Presented by Dechert LLP and Grail Partners LLC, Los Angeles, CA (October 24, 2007)
  • Fall Committee Meeting — ABA Section of Business Law, Washington, DC (December 1, 2006)
  • Understanding the Future Direction of Communications with Fund Shareholders — Independent Directors Council, Newport Beach, CA (November 2, 2006)
  • Legal and Compliance Risk Management — ABA Section of Business Law Fall Meeting, Washington, DC (November 18, 2005)
  • The “Canary” in the Mine: Avoiding Dangers in the New Regulatory Environment — ABA Fall CLE Meetings: Section of Business Law Fall Meeting, Washington, DC (November 20, 2004)
  • Internal Controls and Investigations Versus Regulatory Disclosures — ABA, Section of Business Law Fall Meeting, Washington, DC (December 5, 2003)
  • E-Mail Retention Requirements, Anti-Money Laundering Update, and Hedge Fund Issues for Registered Advisers — Investment Counsel Association of America Seminar, Los Angeles, CA (October 22, 2003)
  • Intense Scrutiny of Mutual Fund Marketing Timing Activities — Orange County Society of Investment Managers, Costa Mesa, CA (October 15, 2003)
  • Post Sarbanes-Oxley Challenges — Mutual Fund Director's Forum, Los Angeles, CA (May 28, 2003)
  • Compliance Issues (Anti-Money Laundering) — ICI'S Securities Law Developments Conference, Washington, DC (December 10, 2002)
  • Integration of Enterprise-Wide Compliance Programs (Anti-Money Laundering) — ABA Section of Business Law Fall Meeting, Washington, DC (November 22, 2002)
  • Anti-Money Laundering Compliance — Orange County Society of Investment Managers Hedge Funds for U.S. Advisers Seminar, Costa Mesa, CA (October 9, 2002)
  • Disaster Recovery Planning — ICAA IA Compliance Summit, Washington, DC (April 9, 2002)
  • Fair Value Pricing — California 40 Acts Group, Los Angeles, CA (July 27, 2001)
  • Investment Company Regulation — Howard Law School's Securities Regulation Class, Washington, DC (April 2, 2001)
  • Corporate Governance — ALI - ABA Investment Management Regulation, Washington, DC (October 27, 2000)
  • Director /Adviser Coordination for Sound Compliance — IBC'S Mutual Funds Compliance Congress, Boston, MA (June 26, 2000)
  • Adviser Liability for Money Fund Operations — IBC's Money Fund Forum, New York, NY (June 14, 2000)
  • NASD Issues — ICI's Securities Law Developments Conference, Washington, DC (December 10, 1999)
  • Complying with the New Foreign Custody Regulations — IIR's Mutual Fund Conference, Washington, DC (October 19, 1999)
  • Latest Soft Dollar Regulations and Guidelines from the SEC and AIMR — IIR's Soft Dollar Conference, New York, NY (January 11, 1999)
  • Plain English Disclosure: The Cultural Revolution? — Glasser's Investment Management Regulation Annual Institute, New York, NY (November 16, 1998)
  • Maintaining a Sound Compliance System for Your Mutual Fund Web Site — IIR's Mutual Funds Compliance Forum, New York, NY (November 9, 1998)
  • Tackling The Challenges of Trade Allocation and Best Execution — IIR's Investment Adviser Compliance Forum, New York, NY (July 13, 1998)
  • Risk Assessment and Strategies for Serious Problems — NRS' Compliance Conference, Boca Raton, FL (April 15, 1998)
  • Mutual Fund Regulation — Northeastern University School of Law's Securities Regulation Class, Boston, MA (October 27, 1997)
  • Administering Investment Company Law — SEC's International Institute for Securities Market Development, Washington, DC (May 7, 1996)
  • Overview of Investment Company Regulation — SEC's Capital Markets Training Program, Washington, DC (March 26, 1996)
  • Mutual Fund Regulation — Howard Law School's Securities Regulation Class, Washington, DC (March 25, 1996)