What services are provided under Capital Market Law & Regulation Advisory?

The services include securities law advice, market conduct compliance, regulatory filings and disclosures, risk management and internal controls, compliance training, and ongoing regulatory advisory.

Why are disclosures and regulatory filings important for capital market entities?

They ensure transparency, regulatory compliance, protection of investors, maintenance of market integrity, and help avoid sanctions, penalties or reputational damage.

What is market conduct, and how does it affect compliance?

Market conduct refers to behaviours and practices in capital markets — like insider trading, market abuse, conflicts of interest — which are regulated strongly. Good market conduct policies help ensure fairness, prevent abuse or manipulation, and fulfil regulatory obligations.

How often should capital market firms update training and compliance programmes?

At least annually, or whenever there are major regulatory changes, market developments, or after any breach/incident. Regular refreshers are critical to maintain awareness and effectiveness of compliance controls.

What does ongoing advisory & regulatory change monitoring involve?

It involves keeping track of new laws/regulations, regulatory guidance, enforcement actions, emerging risks in capital markets, and advising how to adapt policies, operations or governance accordingly.

Capital Market Advisory | Compliance & Governance

Regulatory Advisory & Licensing Support

ABM guides firms through licensing and registration with the Securities and Commodities Authority (SCA), Dubai Financial Services Authority (DFSA), and Abu Dhabi Global Market (ADGM) regulators. We assist in obtaining approvals for broker-dealer activities, fund management, and derivatives trading licenses.

Ongoing Compliance Management

We help firms maintain adherence to disclosure and reporting requirements under SCA and DFSA frameworks. Our tailored programs adapt to regulatory updates, ensuring firms stay compliant and audit-ready.

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AML/CFT Programs for Capital Markets

ABM designs AML/CFT frameworks in line with SCA/DFSA AML Guidelines. We establish CDD/EDD processes, implement transaction monitoring systems, and STR/SAR filing protocols to mitigate market abuse and money laundering risks.

Corporate Governance and Risk Management

We help firms establish governance structures aligned with UAE capital markets regulations. Our services include board oversight frameworks, risk policies, and internal controls to enhance investor confidence and regulatory compliance.

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Training and Education

We deliver training covering SCA/DFSA regulations, AML/CFT obligations, insider trading prevention, and ethical conduct. Our workshops and e-learning ensure compliance officers and management remain confident in addressing market risks.

Market Conduct and Insider Trading Controls

ABM develops insider trading policies, market abuse controls, and employee trading frameworks in line with SCA requirements. These controls safeguard institutional integrity and promote transparent capital markets.