About James
James is a Partner in the firm’s Financial Services Group. He advises clients on the full spectrum of financial services and FCA-related matters, including on authorisation and approval applications, perimeter and supervisory issues, internal and enforcement investigations as well as cases before the Regulatory Decisions Committee and Upper Tribunal.
James joined Kingsley Napley in 2022 from the FCA where he spent seven years in the Enforcement division, giving him a unique insight into the approach and working of the regulator.
Whilst at the FCA James built the framework, and led the dedicated team responsible, for taking 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 supervisory approach. In addition, his work at the regulator in relation to crypto firms gave him particularly valuable insight into this sector.
James also has significant experience of advising on FCA criminal and regulatory enforcement investigations into firms and individuals including in relation to conduct issues, governance, anti-money laundering, insider dealing and market abuse and cases involving sexual misconduct in the workplace.
Before joining the FCA James worked as an investigative lawyer in the Proceeds of Crime Department of the Serious Fraud Office, where he conducted restraint and confiscation litigation in cases of serious complex fraud and bribery and was the prosecutor on international criminal money laundering investigations.
James is ranked as a Leading Associate in Legal 500 and is also part of the Enterprise Investment Scheme Association (EISA) Regulatory & Legal Committee and the UKBAA Legal, Tax & Regulatory Committee.
Insights from James
FCA’s Enforcement Watch 1 and what it means for the financial services industry
FCA anti-money laundering fines continue to mount up
FCA’s Anti-Greenwashing Rule Takes Effect: What It Means for Compliance and ESG Accountability
Motor finance: FCA drives towards formal redress scheme
Market abuse letters – an increasingly used tool
Getting tough on insider trading
Greenwashing: Another key factor in the year ahead
The future of crypto regulation in the UK
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