{"id":93891,"date":"2025-05-27T17:06:06","date_gmt":"2025-05-27T17:06:06","guid":{"rendered":"https:\/\/demo.abmglobalcompliance.com\/au\/?page_id=93891"},"modified":"2025-10-10T13:20:06","modified_gmt":"2025-10-10T13:20:06","slug":"capital-market","status":"publish","type":"page","link":"https:\/\/abmglobalcompliance.com\/au\/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 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\u2019s fit-and-proper requirements and ongoing obligations, helping firms achieve regulatory approval efficiently and with minimal risk.<\/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 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.<\/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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Anti-Money Laundering and Counter-Terrorism Financing (AML\/CTF) Compliance Programs<\/h2><\/div>
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ABM develops AML\/CTF frameworks aligned with the Anti-Money Laundering and Counter-Terrorism Financing Act 2006, AUSTRAC guidance, and FATF recommendations\u2014tailored 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.<\/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 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.<\/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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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.<\/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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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\u2019s reputation and promote a fair, transparent, and efficient market environment.<\/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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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),..<\/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. Manage regulations, governance, and investor protection effectively.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/abmglobalcompliance.com\/au\/capital-market\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Capital Market Advisory | Compliance & Governance\" \/>\n<meta property=\"og:description\" content=\"Expert compliance and advisory for capital markets. 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