What financial service firms does ABM Global Compliance support?

We assist firms in banking, payments, electronic money, capital markets, and other financial-services sectors with compliance, regulatory authorisation, AML/CTF, risk management, governance, and ongoing compliance support.

Do you help with regulatory licensing and authorisation?

Yes. We provide support with preparing applications, understanding requirements, capital, governance, policies, and liaising with regulators for financial services licensing.

What AML/CTF obligations do financial service firms need to meet?

They need to have customer due diligence (KYC/KYB), transaction monitoring, reporting of suspicious transactions, sanctions screening, risk assessment, record keeping, staff training, and internal oversight.

How often should financial service firms review and update their compliance frameworks?

At minimum annually, or sooner if there are regulatory changes, internal incidents, or business model changes that affect risk or operations.

What is regulatory reporting and how can you help?

Regulatory reporting includes periodic or ad-hoc filings required by regulators. We help firms prepare, review, submit these reports accurately and on time, and advise on new reporting requirements.

Why are governance & internal controls important in financial services?

Good governance ensures accountability, oversight, risk awareness, and helps maintain regulatory compliance. Internal controls help prevent errors, fraud, non-compliance, and protect the firm and its customers.

Financial Services Advisory | ABM Global Compliance

Regulatory Licensing & Registration

ABM supports licensing and registration for Money Services Businesses (MSBs), investment firms, and fintech companies with FINTRAC, CSA members, and provincial regulators. We guide clients through MSB registration, securities dealer licensing, and payment firm approvals.

Compliance Framework Development

We design bespoke compliance frameworks covering AML, CFT, KYC, privacy, and risk management. Our frameworks align with Canadian regulations and international best practices, giving clients a sustainable compliance structure.

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AML/CFT Programs

We build AML/CFT frameworks that align with PCMLTFA, FATF, and provincial securities commission guidelines. Our services include sanctions compliance, ongoing monitoring, and STR filing.

Internal Audit & Compliance Reviews

ABM provides independent reviews of AML/CFT and regulatory compliance programs. We benchmark practices against Canadian requirements and issue remediation plans to prepare firms for regulator inspections.

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Ongoing Compliance Support & Outsourcing

We offer outsourced compliance functions to MSBs, VASPs, and fintechs, ensuring ongoing monitoring, reporting, and adaptation to new rules.

Regulatory Inspections & Enforcement Preparation

We conduct readiness reviews and mock inspections to prepare clients for FINTRAC or securities regulator examinations. Our team assists with corrective action planning and regulator communications.

Training & Capacity Building

We deliver compliance training tailored to Canadian laws and industry practices, covering AML/CFT, sanctions, data protection, and regulatory ethics.