Financial Services and Markets Act 2000: Primary legislation governing financial services regulation in the UK, establishing the regulatory framework and FCA powers
Consumer Rights Act 2015: Legislation protecting consumer rights and establishing fairness requirements in consumer contracts
Data Protection Act 2018 and UK GDPR: Laws governing the processing and protection of personal data, including client information
Money Laundering Regulations 2017: Regulations requiring firms to implement measures to prevent money laundering and terrorist financing
Proceeds of Crime Act 2002: Legislation dealing with money laundering and proceeds of crime, including reporting obligations
FCA Client Assets Sourcebook (CASS): Regulatory rules for firms holding client money and assets, including segregation and protection requirements
FCA Conduct of Business Sourcebook (COBS): Regulatory requirements governing conduct of business, including client communications and service standards
FCA Systems and Controls (SYSC): Regulatory requirements for firm's systems, controls, and organizational arrangements
Payment Services Regulations 2017: Regulations governing payment services, including requirements for payment institutions
Electronic Money Regulations 2011: Regulations governing electronic money institutions and related services
Common Law - Contract: Fundamental principles of contract law including formation, consideration, and breach
Common Law - Agency: Legal principles governing the relationship between principal and agent
Fiduciary Duties: Legal obligations of trust and loyalty owed by financial institutions to their clients
Banking Act 2009: Legislation governing banking operations and special resolution regime
Financial Services Compensation Scheme Rules: Rules governing the UK's statutory deposit insurance and compensation scheme
Alternative Dispute Resolution Requirements: Rules requiring firms to have appropriate dispute resolution procedures and FOS membership
FCA Treating Customers Fairly Principles: Regulatory principles requiring firms to ensure fair treatment of customers throughout their relationship
