{"id":93891,"date":"2025-05-27T17:06:06","date_gmt":"2025-05-27T17:06:06","guid":{"rendered":"https:\/\/demo.abmglobalcompliance.com\/ca\/?page_id=93891"},"modified":"2025-10-10T11:01:01","modified_gmt":"2025-10-10T11:01:01","slug":"capital-market","status":"publish","type":"page","link":"https:\/\/abmglobalcompliance.com\/ca\/capital-market\/","title":{"rendered":"Capital Market"},"content":{"rendered":"\t\t
\n\t\t\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Regulatory Advisory & Licensing Support<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t

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.<\/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

\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"\"\t\t\t\t\t\t\t\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\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Ongoing Compliance Management<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t

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.<\/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

\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"\"\t\t\t\t\t\t\t\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\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Book a Free Consultation \u2013 Get Licensed\u00a0Faster!<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t
\n\t\t\t\n\t\t\t\t\t\t\n\t\t\t\t\t\t\n\t\t\t\t<\/i>\t\t\t<\/span>\n\t\t\t\t\t\tContact Us<\/span>\n\t\t<\/span>\n\t\t\t\t\t<\/a>\n\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\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

AML\/CFT Programs for Capital Markets<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t

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.<\/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

\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"\"\t\t\t\t\t\t\t\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\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Corporate Governance and Risk Management<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t

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.<\/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

\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"\"\t\t\t\t\t\t\t\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\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Book a Free Consultation \u2013 Get Licensed\u00a0Faster!<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t
\n\t\t\t\n\t\t\t\t\t\t\n\t\t\t\t\t\t\n\t\t\t\t<\/i>\t\t\t<\/span>\n\t\t\t\t\t\tContact Us<\/span>\n\t\t<\/span>\n\t\t\t\t\t<\/a>\n\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\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Training and Education<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t

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.<\/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

\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"\"\t\t\t\t\t\t\t\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\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Market Conduct and Insider Trading Controls<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t

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.<\/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

\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"\"\t\t\t\t\t\t\t\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\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t","protected":false},"excerpt":{"rendered":"

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..<\/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\/ca\/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. Manage regulations, governance, and investor protection effectively.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/abmglobalcompliance.com\/ca\/capital-market\/\" \/>\n<meta property=\"og:site_name\" content=\"ABM Global Compliance Canada\" \/>\n<meta property=\"article:modified_time\" content=\"2025-10-10T11:01:01+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/abmglobalcompliance.com\/ca\/wp-content\/uploads\/sites\/3\/2025\/10\/Ongoing-Compliance-Support-768x456.webp\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:label1\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data1\" content=\"3 minutes\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\\\/\\\/schema.org\",\"@graph\":[{\"@type\":\"WebPage\",\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/capital-market\\\/\",\"url\":\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/capital-market\\\/\",\"name\":\"Capital Market Advisory | Compliance & Governance\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/#website\"},\"primaryImageOfPage\":{\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/capital-market\\\/#primaryimage\"},\"image\":{\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/capital-market\\\/#primaryimage\"},\"thumbnailUrl\":\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/wp-content\\\/uploads\\\/sites\\\/3\\\/2025\\\/10\\\/Ongoing-Compliance-Support-768x456.webp\",\"datePublished\":\"2025-05-27T17:06:06+00:00\",\"dateModified\":\"2025-10-10T11:01:01+00:00\",\"description\":\"Expert compliance and advisory for capital markets. Manage regulations, governance, and investor protection effectively.\",\"breadcrumb\":{\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/capital-market\\\/#breadcrumb\"},\"inLanguage\":\"en-US\",\"potentialAction\":[{\"@type\":\"ReadAction\",\"target\":[\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/capital-market\\\/\"]}]},{\"@type\":\"ImageObject\",\"inLanguage\":\"en-US\",\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/capital-market\\\/#primaryimage\",\"url\":\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/wp-content\\\/uploads\\\/sites\\\/3\\\/2025\\\/10\\\/Ongoing-Compliance-Support.webp\",\"contentUrl\":\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/wp-content\\\/uploads\\\/sites\\\/3\\\/2025\\\/10\\\/Ongoing-Compliance-Support.webp\",\"width\":1170,\"height\":694},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/capital-market\\\/#breadcrumb\",\"itemListElement\":[{\"@type\":\"ListItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/\"},{\"@type\":\"ListItem\",\"position\":2,\"name\":\"Capital Market\"}]},{\"@type\":\"WebSite\",\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/#website\",\"url\":\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/\",\"name\":\"ABM Global Compliance Canada\",\"description\":\"\",\"potentialAction\":[{\"@type\":\"SearchAction\",\"target\":{\"@type\":\"EntryPoint\",\"urlTemplate\":\"https:\\\/\\\/abmglobalcompliance.com\\\/ca\\\/?s={search_term_string}\"},\"query-input\":{\"@type\":\"PropertyValueSpecification\",\"valueRequired\":true,\"valueName\":\"search_term_string\"}}],\"inLanguage\":\"en-US\"}]}<\/script>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Capital Market Advisory | Compliance & Governance","description":"Expert compliance and advisory for capital markets. Manage regulations, governance, and investor protection effectively.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/abmglobalcompliance.com\/ca\/capital-market\/","og_locale":"en_US","og_type":"article","og_title":"Capital Market Advisory | Compliance & Governance","og_description":"Expert compliance and advisory for capital markets. Manage regulations, governance, and investor protection effectively.","og_url":"https:\/\/abmglobalcompliance.com\/ca\/capital-market\/","og_site_name":"ABM Global Compliance Canada","article_modified_time":"2025-10-10T11:01:01+00:00","og_image":[{"url":"https:\/\/abmglobalcompliance.com\/ca\/wp-content\/uploads\/sites\/3\/2025\/10\/Ongoing-Compliance-Support-768x456.webp","type":"","width":"","height":""}],"twitter_card":"summary_large_image","twitter_misc":{"Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/abmglobalcompliance.com\/ca\/capital-market\/","url":"https:\/\/abmglobalcompliance.com\/ca\/capital-market\/","name":"Capital Market Advisory | Compliance & Governance","isPartOf":{"@id":"https:\/\/abmglobalcompliance.com\/ca\/#website"},"primaryImageOfPage":{"@id":"https:\/\/abmglobalcompliance.com\/ca\/capital-market\/#primaryimage"},"image":{"@id":"https:\/\/abmglobalcompliance.com\/ca\/capital-market\/#primaryimage"},"thumbnailUrl":"https:\/\/abmglobalcompliance.com\/ca\/wp-content\/uploads\/sites\/3\/2025\/10\/Ongoing-Compliance-Support-768x456.webp","datePublished":"2025-05-27T17:06:06+00:00","dateModified":"2025-10-10T11:01:01+00:00","description":"Expert compliance and advisory for capital markets. Manage regulations, governance, and investor protection effectively.","breadcrumb":{"@id":"https:\/\/abmglobalcompliance.com\/ca\/capital-market\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/abmglobalcompliance.com\/ca\/capital-market\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/abmglobalcompliance.com\/ca\/capital-market\/#primaryimage","url":"https:\/\/abmglobalcompliance.com\/ca\/wp-content\/uploads\/sites\/3\/2025\/10\/Ongoing-Compliance-Support.webp","contentUrl":"https:\/\/abmglobalcompliance.com\/ca\/wp-content\/uploads\/sites\/3\/2025\/10\/Ongoing-Compliance-Support.webp","width":1170,"height":694},{"@type":"BreadcrumbList","@id":"https:\/\/abmglobalcompliance.com\/ca\/capital-market\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/abmglobalcompliance.com\/ca\/"},{"@type":"ListItem","position":2,"name":"Capital Market"}]},{"@type":"WebSite","@id":"https:\/\/abmglobalcompliance.com\/ca\/#website","url":"https:\/\/abmglobalcompliance.com\/ca\/","name":"ABM Global Compliance Canada","description":"","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/abmglobalcompliance.com\/ca\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"}]}},"_links":{"self":[{"href":"https:\/\/abmglobalcompliance.com\/ca\/wp-json\/wp\/v2\/pages\/93891","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/abmglobalcompliance.com\/ca\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/abmglobalcompliance.com\/ca\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/abmglobalcompliance.com\/ca\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/abmglobalcompliance.com\/ca\/wp-json\/wp\/v2\/comments?post=93891"}],"version-history":[{"count":0,"href":"https:\/\/abmglobalcompliance.com\/ca\/wp-json\/wp\/v2\/pages\/93891\/revisions"}],"wp:attachment":[{"href":"https:\/\/abmglobalcompliance.com\/ca\/wp-json\/wp\/v2\/media?parent=93891"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}