Rebecca James

Associate

London

Rebecca’s practice provides advice on a broad range of financial regulation. Her clients include regulated companies, companies looking to become regulated as well as investors wishing to invest in regulated companies.

Rebecca has worked with regulated companies and financial institutions on, among other things, authorisation, outsourcing, systems and controls, payment services, e-money, consumer credit and anti-money laundering regulations. Her clients include retail and wholesale businesses across the financial services sector.

  • Rebecca has a passion for Fintech and has experience working with clients in the Fintech space. In particular, she has provided advice on crypto assets to e-money platforms, exchanges and firms looking to launch token offerings, including initial coin offerings, security token offerings, initial exchange offerings and NFTs.

    • Advising several clients on the regulatory aspects of token offerings and blockchain applications.
    • Advising several ‘fintech’ start-up companies on various regulatory matters, including the payment services and e-money regulations.
    • Drafting and updating money laundering policies, compliance manuals and compliance monitoring programs for a number of companies.
    • Advising several asset purchases and sale purchases involving financial service regulated entities.
    • Assisting with numerous change of control applications for investors looking to invest in regulated entities.
    • Carrying out regulatory due diligence for several investors looking to invest in regulated entities.
    • Assisting on the authorisations of an e-money firm, commodities trader and a fund manager, including assisting with the drafting of all supporting documentation and liaising with the FCA.
    • Assisting in a number of variation of permission applications.
    • Advising numerous companies on the appointed representative regime.