Regulators often make their rules available on the internet. Here are some links that can save Compliance Officers the effort of reaching for the bookshelf. Please note that whilst every effort is made to reflect currently applicable material certain rules and laws linked to from this page may have been amended subsequently and you should consult a professional before placing reliance on them
Link |
Description |
| FSA Handbook of Rules and Guidance | Browse the Financial Services Authority's online version of the Handbook - the rules that various types of financial business in the UK must observe. |
| JMLSG Guidance | Joint Money Laundering Steering Group of the British Bankers Association publishes anti-money laundering guidance notes for the financial sector |
| The City Code | The City Code for Takeovers, mergers and substantial acquisitions of shares |
| New Collective Investment Schemes Regulations | Regulations governing the operation of Authorised Collective Investment Schemes in the UK. "COLL" section in FSA Handbook |
| OEIC Regulations | Regulations governing the operation of Open Ended Investment Companies. Statutory Instrument 2001/1228 |
| MiFID Connect | All you ever wanted to know about the Markets in Financial Instruments Directive |
Act |
Description |
| Acts of Parliament | HM Stationery Office - online library of UK Acts of Parliament since 1988 |
| FISMA | HM Stationery Office - The Financial Services and Markets Act 2000 |
| Other useful UK Acts and Bills |
Anti-terrorism, Crime and Security Act 2001 Bank of England Act 1998 Companies Act 1989 Competition Act 1998 Criminal Justice Act 1993 Data Protection Act 1998 Electronic Communications Act 2000 Finance Act 1992 Finance (No. 2) Act 1992 Finance Act 1997 Finance (No. 2) Act 1997 Freedom of Information Act 2000 Human Rights Act 1998 Income and Corporation Taxes Act 1988 Proceeds of Crime Act 2002 Public Interest Disclosure Act 1998 Regulation of Investigatory Powers Act 2000 Terrorism Act 2000 Trustee Act 2000 Trustee Investments Act 1961 A Guide Bills (laws in draft) before Parliament |
Instrument |
Description |
| Statutory Instruments since 1987 | HM Stationery Office - online library of UK Statutory Instruments since 1987; includes current draft SIs |
| Inland Revenue Statutory Instruments | The IR's online library of Statutory Instruments affecting taxation matters such as ISAs and PEPs |
| The Regulated Activities Order (SI 2001 No. 544) Exemption Order (SI 2001 No. 1201) Business Order (SI 2001 No. 1177) |
A crucial appendix to FSMA, this document defines what types of business are regulated under under that Act |
| The Money Laundering Regulations 2003 (SI 2003 No. 3075) | Rules that UK financial services firms must observe to assist in discouraging financial crime |
| Financial Promotion order 2005 (SI 2005 No. 1529) | Instrument defining the scope of investment advertising rules |
| Distance Marketing Regulations 2004 (SI 2004 No. 2095) | Marketing rules |
| ECD Regulations 2002 (SI 2002 No. 1775) | Rules for Electronic Commerce |
| Appointed Representative Regs 2001 (SI 2001 No. 1217) | Rules for tied and multi-tied agents |
| The Investment Services Regulations 1995 (SI 1995 No. 3275) | The "ISD Regulations" - governing firms that are subject to the Investment Services Directive |
| Individual Savings Account Regulations 1998 (SI 1998 No. 1870); The Individual Savings Account (Amendment) Regulations 2001 (SI 2001 No. 908) |
Regulations for ISA's - UK tax shelters for individual savers |
| The Stakeholder Pension Schemes Regulations 2000 (SI 2000/1403) | Regulations for Stakeholder Pensions Managers |
| The Venture Capital Trust Regulations 1995 (SI 1995/1979) The Venture Capital Trust (Amendment) Regulations 1999 (SI 1999/819) |
Tax-driven Regulations for Venture Capital Trusts |