Polly James
Partner, Financial Services Investigations
Bryan Cave Leighton Paisner
- Specialises in advising financial institutions and their senior management on complex regulatory issues
- Previous experience working as an enforcement lawyer for the Financial Services Authority
- Defends financial institutions and their senior managers on FCA and PRA regulatory enforcement actions spanning a range of sectors
- Particular expertise in conducting sensitive internal investigations (particularly those involving whistleblowers), advising alongside employment law colleagues to deliver joined-up advice taking account of both regulatory and employment law risks
- Specialist in the detailed technical provisions and practical implementation challenges of the Senior Managers and Certification Regime (SMCR)
- Proven track record in successfully preparing senior managers for their regulatory approval interviews (especially those without previous experience of UK law and regulation)
- Skilled at advising on pre-contentious regulatory situations, such as handling s166 Skilled Person Reviews and dealing with other supervisory interventions by the PRA and FCA
- Regularly advises wealth management firms on their most significant customer complaints, including handling FOS matters
- Currently advising a range of clients on the implications of Brexit
- Pro Bono Partner for the firm’s Commercial Disputes Group
- Contributor to ‘A Practitioner’s Guide to Financial Services Enforcement and Investigations’ (Thomson Reuters, 2014)
- Frequent speaker at conferences on regulatory enforcement, SMCR and financial services implications of Brexit
- Member of the Financial Services Lawyers Association and the London Women’s Forum
- Contributing author to the Financial Regulation: Emerging Themes in 2018 publication – a practical review of financial services regulation this year. Essential reading for legal, risk and compliance professionals working for UK-based firms.
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