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 registration and licensing with Canadian regulators such as the Canadian Securities Administrators (CSA), Ontario Securities Commission (OSC), and Investment Industry Regulatory Organization of Canada (IIROC). We support broker-dealer registrations, investment fund management approvals, and derivatives licensing at both federal and provincial levels.

Ongoing Compliance Management

We assist firms in fulfilling disclosure and reporting obligations such as continuous disclosure filings, insider reporting, and Form 31-103F1 compliance. Our tailored compliance programs adapt to regulatory changes and evolving market practices, ensuring firms remain compliant and audit-ready.

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AML/CFT Programs for Capital Markets

ABM designs AML/CFT programs aligned with FINTRAC obligations, specifically tailored for securities and derivatives markets. We implement CDD, EDD, transaction monitoring, and STR frameworks to mitigate money laundering and market abuse risks.

Corporate Governance and Risk Management

We help firms strengthen governance systems in line with CSA and exchange rules. Services include board oversight frameworks, internal controls, risk management policies, and investor protection measures.

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Training and Education

Our training modules cover securities regulation, AML/CFT requirements, market conduct, insider trading prevention, and ethical practices. Using workshops and digital learning, we equip compliance officers and senior management to handle regulatory obligations with confidence.

Market Conduct and Insider Trading Controls

We develop and implement insider trading policies, employee trading controls, and market abuse monitoring programs in line with CSA requirements. These safeguards protect reputation and ensure transparency in Canadian capital markets.