Overview
James is a Counsel in the Financial Regulation Group in London.
James has expertise advising banks, asset managers, FMIs and fintechs across a range of financial regulatory topics, with a focus on wholesale markets, fintech/cryptoassets and ESG/sustainable finance regulation.
His experience includes advising investment banks, financial market infrastructures and asset management clients on significant regulatory changes such as the implementation of MiFID II, Brexit planning, the EU’s Digital Operational Resilience Act (DORA) and on ESG topics such as the EU Sustainable Finance Disclosure Regulation (SFDR), Corporate Sustainability Reporting Directive (CSRD) and the Corporate Sustainability Due Diligence Directive (CSDDD).
James also regularly advises on fintech matters, with working for a consortium of banks on their project to establish a private virtual currency using blockchain technology being a particular highlight, as well as advising on one of the first successful UK cryptoasset firm registrations with the FCA under the Money Laundering Regulations 2017.
His broader advisory expertise covers a range of other areas including the application of the UK and EU Market Abuse Regulation (in both transactional and non-transactional contexts), the FCA’s Consumer Duty, the Benchmarks Regulation, AIFMD, the Short Selling Regulation, M&A transactions related to regulated businesses, intragroup reorganisations of regulated businesses, analysis of complex UK regulatory perimeter issues and cross-border licensing advice.
James has previously been seconded to the regulatory reform legal team at Goldman Sachs, focussing on matters relating to MiFID II implementation. As a Managing Associate James also spent time on secondment in Linklaters’ Financial Regulation Group in Hong Kong.
Work Highlights
- Advising a large global asset manager on its SFDR implementation project, and on other ESG topics including CSRD, the UK FCA’s SDR regime and TCFD reporting
- Advising a significant cryptoasset proprietary trader and liquidity provider on one of the first successful UK cryptoasset firm registrations under the Money Laundering Regulations 2017
- Advising on and coordinating a complex reorganisation of an EU investment banking group
- Ongoing advice on the cross-border licensing implications and other regulatory issues associated with offering a capital markets workflow management tool into the UK and a number of other non-UK jurisdictions
- Assisting several investment banks, FMIs and asset managers on their Brexit implementation projects and associated cross-border licensing analysis
- MiFID II implementation projects for a number of global investment banks, asset managers and FMIs
Admissions