Cups of coffee


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.



Jessica advises on financial services and fund regulation with a specific focus on the private wealth and family office sectors.  Her clients comprise wealth managers, private banks, family offices and private clients with a need for UK regulatory advice; they may be looking to establish a presence in the UK or approach the UK market (whether that be promoting investment services or products) from offshore.  Due to the nature of Jessica’s work her clients are often based outside the UK and she works regularly with the firm’s network of international offices.

Jessica advises on all elements of the regulatory obligations imposed on her clients, including interpretation of UK and retained EU financial services legislation as well as the rules and guidance of the Financial Conduct Authority. She provides support to her clients around the requirement for FCA regulation and the extent to which it may be avoided through consulting perimeter guidance. If required, Jessica will assist her clients with the FCA authorisation process from start to finish. If her clients are FCA regulated, she advises them on their ongoing regulatory duties and helps them to keep on top of ever-changing rules.

Jessica also assists her clients with fund establishments and restructurings within both the regulated and alternative fund sectors, including establishing private regulated funds for private clients of the firm.

A further focus is product distribution where she assists her clients in marketing their investment products (particularly investment funds and structured products) to the UK market.  As part of this she will assist her clients in promoting to retail clients, advising on the layers of regulation that surround these approaches.

Jessica is admitted to practice in England and Wales.


  • Advising a number of family offices, both single and multi family, on establishing a UK presence.  Advice has included perimeter guidance and establishing structures without the need for FCA authorisation through to managing the FCA authorisation process from start to finish. 
  • Establishing private investment funds for families and assisting with asset transfer into these private funds.
  • Advising offshore private banks on approaching the UK market including the application of the overseas persons exclusion and compliance with local rules.
  • Preparing requisite suites of documentation for investment managers such as terms of business and investment management agreements.

Our thinking

Share this Page