{"id":93891,"date":"2025-05-27T17:06:06","date_gmt":"2025-05-27T17:06:06","guid":{"rendered":"https:\/\/demo.abmglobalcompliance.com\/ae\/?page_id=93891"},"modified":"2025-10-10T14:24:10","modified_gmt":"2025-10-10T14:24:10","slug":"capital-market","status":"publish","type":"page","link":"https:\/\/abmglobalcompliance.com\/ae\/capital-market\/","title":{"rendered":"Capital Market"},"content":{"rendered":"\t\t
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Regulatory Advisory & Licensing Support<\/h2><\/div>
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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.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

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Ongoing Compliance Management<\/h2><\/div>
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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.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

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Book a Free Consultation \u2013 Get Licensed\u00a0Faster!<\/h2><\/div>
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AML\/CFT Programs for Capital Markets<\/h2><\/div>
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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.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

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Corporate Governance and Risk Management<\/h2><\/div>
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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.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

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Book a Free Consultation \u2013 Get Licensed\u00a0Faster!<\/h2><\/div>
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Training and Education<\/h2><\/div>
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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.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

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Market Conduct and Insider Trading Controls<\/h2><\/div>
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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.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

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\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"Trading\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t","protected":false},"excerpt":{"rendered":"

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..<\/p>\n","protected":false},"author":2,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":"","_links_to":"","_links_to_target":""},"class_list":["post-93891","page","type-page","status-publish","hentry"],"yoast_head":"\nCapital Market Advisory | Compliance & Governance<\/title>\n<meta name=\"description\" content=\"Expert compliance and advisory for capital markets. 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