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Part I The Industry and Regulatory Context, 1 The Legal and Regulatory Framework

Gerard McMeel

From: McMeel and Virgo On Financial Advice and Financial Products (3rd Edition)

Edited By: Gerard McMeel, John Virgo

From: Oxford Legal Research Library (http://olrl.ouplaw.com). (c) Oxford University Press, 2023. All Rights Reserved.date: 18 June 2024

Banking — Single regulator — Financial Services and Markets Act 2000 — Market Abuse Directive (MAD) — Financial ombudsman service — UK Prudential Regulation Authority (PRA) — UK Financial Services Authority (FSA) — Bank of England — Undertakings for Collective Investment (UCIs) — Alternative Investment Fund Managers Directive (AIFMD)

This chapter begins with an overview of the regulatory framework for financial services. It then sets out the book's purpose, which is to identify and establish the legal principles governing the provision of financial services and the marketing of financial products. The main focus is on the law of retail or consumer financial services law.

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