James Lloyd > Mountford Chambers > London, England > Barrister Profile
Mountford Chambers Offices
13 Ely Place
EC1N 6RY
England
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James Lloyd
Position
James accepts instructions in all of Chambers’ areas of practice, with particular expertise in financial crime, regulatory compliance, and professional discipline.
James has been involved in several Serious Fraud Office investigations relating to financial institutions and insider dealing. His advisory practice has included advising multinational entities on SFO investigations into global trading arrangements. He has assisted in past business reviews of financial institutions, particularly relating to COBS compliance, and has been involved in ‘skilled person’ reviews (under s.166 FSMA 2000) instigated by the UK Financial Conduct Authority into alleged mis-selling of interest rate hedging products by a major retail bank, and investigations into mis-management of investment portfolios.
James recently acted as junior alone for four of five applicants in Page & Ors v Financial Conduct Authority [2022] UKUT 124 (TCC); one of the largest Upper Tribunal cases of recent years, relating to the transfer of c.1,500 retail customer pensions (totalling over £60 million) into loan notes and bonds being promoted by an unrelated entity. The case was heard over 5 weeks and involved: detailed consideration of IFA duties in respect of products; due diligence; duties relating to outsourced activities and conflicts of interest; the requirements of honesty and integrity for regulated IFAs; limitation; and de facto directorship.
James is the Deputy Head of the Mountford Chambers Regulatory Practice Group. He is frequently instructed to present fitness to practise cases and professional disciplinary cases on behalf of professional regulators. James also acts for regulated professionals before disciplinary tribunals across several industry sectors.
Career
Called: 2017
Memberships
- ThoughtLeaders4FIRE – Fraud. Insolvency. Recovery. Enforcement. [FIRE]
- Association of Regulatory & Disciplinary Lawyers [ARDL]
- Criminal Bar Association [CBA]
- Proceeds of Crime Lawyers Association [POCLA]
- Young Fraud Lawyers Association [YFLA]
- Member of the Sport Resolutions, Safeguarding Case Management Panel [SCMP]
Education
Education
- LL.B (Hons), Newcastle University
- BPTC, Kaplan Law School
Scholarships/Awards
- Lord Wolfson Scholarship, Lincoln’s Inn
- Hardwicke Entrance Award, Lincoln’s Inn
- Crowther Shield, Lincoln’s Inn