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Jessica Arrol Caws, Senior Associate

Jessica advises firms based in the UK and offshore on UK and EU financial services regulatory and investment fund related issues.

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About

Jessica provides financial services regulatory advice to investment firms carrying on business in or providing services to the UK market, with a focus on the investment management, private wealth, family office and private banking sectors. Her work involves advising regulated firms on all elements of their regulatory obligations, including interpretation of UK (and retained EU) law and the FCA Handbook. Jessica regularly advises new firms launching their business in the UK and assists on all elements surrounding the FCA authorisation process, as well as advising on perimeter issues to the extent that it may be possible to avoid regulation. Further, Jessica works on fund launches and restructurings, as well as advising managers on their regulatory obligations, both in the regulated and alternative fund sectors, with a particular focus on private funds. Jessica also advises regularly on the distribution and financial promotion of investments. She is often working closely with the firm’s employment and dispute resolution teams on contentious matters that involve a regulatory angle.

Jessica is increasingly involved in advising clients on climate-related disclosure regimes and the impact of international regimes of this type on UK clients.

Jessica is admitted to practise in England and Wales.

Experience

  • Advising on the establishment of a number of UK-based multi-family offices, including managing the FCA authorisation process.

  • Advising a high profile offshore private bank across their business on approaching the UK market, including the use of the overseas persons exclusion.

  • Advising on the launch of a number of private funds for high net worth families.

  • Guiding an investment management client through a potential rule breach, including the relevant FCA notification. 

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