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Philip J. Morgan

Fax +44.(0)20.7648.9001

Mr. Morgan has been a partner in the firm’s investment management practice group for 16 years. He has wide experience in the law and regulation of UK financial services industries including investment management, banking, broking, insurance mediation and payment services. He works closely with U.S. and other colleagues to provide international, including EU, financial services regulatory advice. His practice also focuses on investment funds, particularly hedge funds, real estate funds, private equity funds and listed investment funds. His regulatory work spans a broad range of topics including the FCA’s regulatory perimeter, the Alternative Investment Fund Managers Directive, MiFID II, EU passporting and Brexit. He has a particular interest in the way in which financial services regulations impact disruptive fintech businesses.

Professional Background

Philip worked for an international law firm from 1993 to 2000.  During that period he worked on a broad range of corporate projects with a particular emphasis on work for investment management groups, London-listed investment trusts, offshore funds and private equity funds.  Mr. Morgan has been with K&L Gates since April 2000 and was made a partner in April 2002.

Speaking Engagements

Mr. Morgan has given various seminars on financial services and other topics including financial promotion, mortgage regulation, soft commissions and unbundling, UK limited liability partnerships, hedge fund regulation, the Markets in Financial Investments Directive, the UCITS Directive and a variety of FSA Handbook issues.

  • "An Introduction to UCITS and FSA Regulation", K&L Gates presentation, London and New York, July 2009
  • "Critical Regulatory Issues for International Fund Managers and Investment Advisers", K&LNG full day workshop, London, January 2005, 2006, 2007, 2008 and 2009
  • "Rogue Traders" and Other Nightmares, Their Fallout and How to Deal with Them", K&L Gates seminar, London, September 2008
  • "U.S. and UK Perspectives on the Sub-Prime Mortgage Crisis", K&L Gates telephone conference, September 2007
  • "Mergers and Acquisitions in the Investment Management Industry", K&LNG seminar, New York and London, June 2006
  • "FSA Registration Issues" - Hedge Funds Compliance, K&LNG Seminar, New York, March 2005
  • "Hedge Fund Hot Topics: Expanding Markets, Evolving Regulations", K&LNG seminar, New York and London, September 2005
  • "Unbundling and Soft Commissions: Managing Conflicting National Standards in Use of Brokerage", K&LNG seminar, New York and London, September 2005
  • Established UK operation of U.S.-based hedge fund manager, advising on regulatory and corporate aspects, and on a UK limited liability partnership structure
  • UK financial services regulatory advice to many overseas-based investment managers and brokers on financial promotion issues, and on the perimeter of FSA regulation
  • Corporate and regulatory advice on multi-million pound joint ventures established for real estate investment and development using limited partnership and offshore unit trust structures
  • Merger of two professional partnerships, and conversion of one to a UK limited liability partnership structure
  • Various advice to hedge fund managers on the establishment of new fund structures and ongoing regulatory and contractual issues
  • UK regulatory advice in connection with a multi-million pound transatlantic investment management industry merger
  • Advice to a sovereign wealth fund on its investments in UK-established private equity funds
  • Funds and regulatory work relating to an offshore fund seeking a listing on the AIM market