What is a banking regulatory compliance assessment?

A regulatory compliance assessment reviews a bank’s operations, policies, and procedures to identify areas where regulatory requirements are not being fully met.

Why is it important to develop compliance policies and frameworks?

Compliance policies and frameworks provide a structured approach to ensure banks operate within legal and regulatory boundaries, reducing risks of fines and sanctions.

How does risk management advisory help banks?

Risk management advisory helps banks identify and address risks such as AML/CTF issues, capital requirements, and conduct risks, ensuring long-term operational resilience.

What is involved in compliance audits and monitoring?

Compliance audits and monitoring involve independent reviews of internal systems, controls, and staff adherence to regulations, with continuous oversight to catch risks early.

Do you assist with regulatory reporting?

Yes, ABM Global Compliance supports banks with timely preparation and submission of regulatory filings to avoid penalties and maintain strong relationships with regulators.

Can you guide us through banking licence applications?

Yes, we provide full guidance for applying for banking licences and regulatory authorisations, ensuring all requirements are satisfied.

Do you provide compliance training for staff?

We deliver tailored training programs to ensure staff understand regulatory requirements and can apply them in day-to-day operations.

Is ongoing compliance support available after implementation?

Yes, ABM Global Compliance provides ongoing monitoring, regulatory updates, and advisory support to keep your compliance program current.

Banking Compliance Services | AML, KYC, Risk Management

Stay Ahead of the Regulatory Curve — ABM Global Facilitates Compliance with Confidence

In today’s highly regulated financial environment, banks and financial institutions face mounting pressures to comply with evolving legal requirements, supervisory expectations, and global standards. Non-compliance not only risks severe penalties but also damages reputation, customer trust, and long-term sustainability.
ABM Global delivers comprehensive regulatory compliance solutions tailored specifically for banking institutions across the United Kingdom.

Regulatory Expertise & Compliance Scope

At ABM Global, we recognise that effective compliance begins with a deep understanding of the regulatory landscape. Our expertise spans both UK-specific regulations and international standards, enabling us to support banking institutions in meeting their legal obligations while strengthening governance and operational resilience.

We ensure full alignment with key regulatory frameworks, including but not limited to:

Financial Conduct Authority (FCA)

Oversight of market conduct, investor protection, and fair treatment of customers.

Prudential Regulation Authority (PRA)

Supervision of banks and insurers to ensure safety, soundness, and financial stability.

Money Laundering Regulations 2017 (MLR 2017)

Implementation of robust Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) measures, including Know Your Customer (KYC) and ongoing monitoring obligations

Retained European Union (EU) Law

Application of rules such as the Markets in Financial Instruments Directive II (MiFID II), Market Abuse Regulation (MAR), and Prospectus Regulation within the UK’s post-Brexit framework.

Global Standards

Alignment with the Financial Action Task Force (FATF) Recommendations, Basel Committee on Banking Supervision (BCBS) principles, and other international best practices.

How ABM Global Supports Your Institution

Simplifying Regulatory Approvals: Managing licensing from start to finish to accelerate market entry
Building Robust Compliance Frameworks: Customised to risk profile and operational needs
Ensuring Accurate Reporting: Streamlining data and processes to meet FCA and PRA standards
Empowering Your Workforce: Providing focused training to boost regulatory knowledge and preparedness
Enhancing AML Defences: Deploying advanced, risk-based tools to detect and prevent financial crime

ABM Global is dedicated to helping your institution operate confidently, mitigate risks effectively, and maintain regulatory compliance within a dynamic financial environment.