Financial Services and Markets Act 2000 (FSMA): Primary legislation governing financial services and markets in the UK, including regulations for financial promotions and regulated activities
Financial Services Act 2012: Key legislation that amended FSMA and established the current regulatory framework including the FCA and PRA
Companies Act 2006: Principal legislation governing company operations, director duties, and corporate documentation requirements in the UK
Financial Promotion Order 2005: Detailed regulations governing how financial products can be marketed and promoted, including exemptions for private placements
Regulated Activities Order 2001: Defines which activities require FCA authorization and relevant exemptions
Prospectus Regulation Rules (PRR): Rules governing when a prospectus is required and what it must contain, including exemptions for private offerings
FCA Handbook: Comprehensive resource containing all FCA rules and guidance for regulated firms and activities
Conduct of Business Sourcebook (COBS): FCA rules governing how firms should interact with clients, including requirements for financial promotions and client communications
Alternative Investment Fund Managers Directive (AIFMD): Regulations governing managers of alternative investment funds, including private placement requirements
UK General Data Protection Regulation (UK GDPR): Post-Brexit data protection legislation governing how personal data must be handled and protected
Money Laundering Regulations 2017: Requirements for preventing and detecting money laundering, including customer due diligence measures
Market Abuse Regulation (MAR): Rules preventing market abuse, insider dealing, and ensuring market integrity
Criminal Justice Act 1993: Contains criminal offenses related to insider dealing and market manipulation
Consumer Rights Act 2015: Legislation protecting consumer rights, which may be relevant if the offering involves retail investors
Financial Services (Distance Marketing) Regulations 2004: Rules governing the marketing of financial services through distance communications
