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 clients through the complex registration and licensing processes with the Australian Securities and Investments Commission (ASIC), Australian Securities Exchange (ASX), and other relevant market operators. We assist in preparing and submitting applications for Australian Financial Services (AFS) licences, market participant approvals, and other authorisations required under the Corporations Act 2001. Our experts ensure compliance with ASIC’s fit-and-proper requirements and ongoing obligations, helping firms achieve regulatory approval efficiently and with minimal risk.

Ongoing Compliance Management

We help capital market participants maintain compliance with ongoing reporting and disclosure obligations under ASIC, ASX, and APRA rules. This includes periodic statements, continuous disclosure requirements, and breach reporting obligations. ABM designs tailored compliance programs that adapt to evolving regulatory changes, industry developments, and market integrity rules. Through continuous monitoring, gap analysis, and internal audits, we ensure your firm remains ahead of compliance risks and regulatory deadlines.

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Anti-Money Laundering and Counter-Terrorism Financing (AML/CTF) Compliance Programs

ABM develops AML/CTF frameworks aligned with the Anti-Money Laundering and Counter-Terrorism Financing Act 2006, AUSTRAC guidance, and FATF recommendations—tailored specifically for capital markets. Our solutions include robust customer due diligence (CDD) and enhanced due diligence (EDD) procedures, transaction monitoring systems, sanctions screening, and suspicious matter reporting (SMR) processes. These programs mitigate the risks of money laundering and terrorism financing in securities, derivatives, and investment markets.

Corporate Governance and Risk Management

We advise on implementing governance frameworks that comply with ASIC and ASX Corporate Governance Principles and Recommendations. Our services include developing internal controls, compliance charters, and risk management frameworks that enhance transparency, protect investors, and strengthen operational resilience. By embedding effective oversight mechanisms, we reduce operational and regulatory risks across your capital market operations.

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Training and Education

ABM delivers targeted training for compliance teams, directors, and management on Australian securities laws, AML/CTF compliance, insider trading prevention, continuous disclosure obligations, and ethical market conduct. Using workshops, scenario-based exercises, and e-learning modules, we foster a culture of compliance and equip staff with the tools to identify, manage, and report risks effectively.

Market Conduct and Insider Trading Controls

We assist in developing and enforcing policies to prevent market misconduct, including insider trading, market manipulation, and false trading. Our services include establishing employee trading policies, setting up market surveillance and monitoring systems, and implementing whistleblower programs in line with the Corporations Act and ASIC Market Integrity Rules. These controls protect your firm’s reputation and promote a fair, transparent, and efficient market environment.