Polly James

Practice Areas

Polly is an experienced financial services regulatory lawyer who helps financial institutions and their boards to manage regulatory risks arising in a broad range of situations spanning enforcement proceedings, supervisory interventions (e.g. s166 reviews and use of ‘own initiative powers’), whistleblower reports, FOS complaints and navigating legal/regulatory changes. Having been on secondment to the FSA Enforcement Division, she knows what it feels like on both sides of the table.

Polly regularly conducts internal investigations in the financial services sector across a wide range of subject matter, with a particular focus on dealing with whistleblower allegations and other sensitive matters, where she works with trusted employment law colleagues to identify and manage both regulatory risks and employment legal risks.