James is a solicitor in the financial services team at Kingsley Napley LLP where he advises clients on the full range of financial services related matters, including on authorisation applications, changes in controls, supervisory issues for regulated firms and enforcement investigations and proceedings. James frequently advises firms and individuals on the application of Financial Services and Markets Act 2000, Payment Services Regulations 2017, Electronic Money Regulations 2011 and Money Laundering Regulations 2017 as well as on the associated FCA rules and guidance.
Prior to joining Kingsley Napley LLP, James spent 7 years at the Financial Conduct Authority where he gained extensive experience in conducting criminal and regulatory investigations and litigation relating to misconduct in the financial services industry. Whilst at the FCA James also built the framework, and led the dedicated team responsible, for taking assertive supervisory intervention action against firms through the imposition of requirements, freezing of assets, banning of financial promotions and variations of permissions. This gave James a keen interest, and specialism, in the FCA’s use of supervisory intervention powers which are increasingly at the forefront of the regulatory agenda.