James specialises in disputes and investigations and risk and compliance advisory.
In relation to disputes and investigations, he works with companies navigating complex matters with multiple investigating agencies (including ASIC, APRA, the AFP, Parliamentary Inquiries and the Royal Commission), concurrent class actions and commercial disputes.
In risk & compliance advisory work James specialises in anti-bribery and corruption advice and advice concerning the Banking Executive Accountability Regime.
James’ experience includes advising:
Macquarie Bank – Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry (the Financial Services Royal Commission).
Macquarie Bank – BEAR implementation project, including preparing the accountability maps and statements, underlying compliance documentation, BEAR policies and procedures and providing advice about changes to business and compliance practices to accommodate BEAR.
Big 4 Bank – ongoing ASIC investigation in relation to fee disclosure statements and internal investigation of a separate regulatory matter.
CIMIC Group (formerly Leighton Holdings) – allegations of foreign bribery, including responding to investigations by ASIC and the Australian Federal Police, a Senate Inquiry, three class actions and an investigation by the US Department of Justice.
Australian insurance provider – concurrent investigations by ASIC and APRA arising from Royal Commission case studies and referrals.
Westpac – wealth management and financial advice issues, including Westpac’s response to ASIC’s Wealth Management Project investigations and providing advice in connection with the establishment and conduct of a financial advice remediation project.
Macquarie Group – defence of Storm Financial proceedings commenced by ASIC and a concurrent investor class action arising from lending to clients of Storm Financial.