James specialises in financial services litigation and contentious financial regulation.
He has extensive retail banking experience and has advised some of the most high profile UK lenders on key issues affecting their portfolios. James advises on litigation and rectification strategy, risk and reputation management and issues flowing from loan portfolio acquisitions.
James routinely advises market-leading financial institutions and their senior managers on a range of regulatory investigations, including in connection with FCA enforcement activity and internal and whistleblowing investigations. His experience spans all aspects of the Senior Managers and Certification Regime, the FCA and PRA Code of Conduct and associated fitness and propriety issues.
His wider contentious regulatory practice includes complex advisory, strategic and risk management work. James has extensive experience advising across a broad range of regulatory issues including conduct and culture, systems and controls, financial crime, regulatory reporting, operational resilience, fraud, mis-selling and the treatment of customers.
Jurisdiction: England & Wales
- Lead partner acting for a number of clearing banks and building societies in relation to industry wide allegations of systemic forgery of signatures on bank documentation. This includes advising on reputation and risk management, systems and controls, operational resilience and associated litigation strategy.Routinely providing advisory support at board level, assisting lenders in their engagement with the FCA, National Crime Agency, Serious Fraud Office, parliament and media, and dealing with a high profile confidential test case.
- Lead partner on a significant internal investigation for a high profile UK bank concerning operational resilience, systems and controls failings and the conduct of managers and Senior Managers.
- Lead partner on a sensitive whistleblowing investigation and subsequent HR investigation for a building society concerning the conduct of senior management.
- Lead partner supporting a major UK retail clearing bank in connection with Skilled Person’s reviews into AML and anti-bribery systems and controls.
- Lead partner on the largest cross jurisdiction title rectification projects undertaken across the industry on behalf of a major building society.