What is ongoing compliance support in capital markets?

Ongoing compliance support refers to continuous services that ensure a firm remains compliant with existing regulations, adapts to new regulatory changes, manages legal risks, updates policies and procedures, and maintains robust governance and reporting.

Why is legal risk management important for capital market participants?

Because firms are exposed to risks including disclosure failures, regulatory enforcement, contract liabilities, governance issues, insider trading or market abuse liabilities. Managing legal risk helps mitigate these and protect reputation, financial position and regulatory standing.

How often should policies and procedures be reviewed or updated?

Typically at least annually or when there are material legal/regulatory changes, after incidents or enforcement actions, or whenever business operations change in a way that affects compliance risk.

What is involved in a compliance audit or gap remediation?

This involves reviewing existing controls, policies, documentation, past compliance with regulatory obligations, identifying deficiencies or gaps, developing a remediation plan with responsibilities and timelines, and verifying that the remedial actions are implemented.

What role does governance and oversight play in legal risk management?

Governance and oversight ensure accountability, clarity of legal responsibility, senior management or board supervision of compliance, escalation mechanisms, whistleblowing or reporting structures, and that legal/compliance risks are monitored and managed at senior levels.

Is staff training and awareness part of ongoing legal risk management?

Yes. Training and awareness are crucial so that staff, management and board understand their legal/regulatory obligations, are aware of emerging risks, and comply with updated policies, disclosure rules or market conduct standards.

Ongoing Compliance Support | Legal & Risk Management

Ongoing compliance support in legal risk management ensures that organizations continuously adhere to regulatory requirements, minimizing exposure to fines, sanctions, and litigation. It involves proactive monitoring of legal obligations, updating policies and procedures to reflect evolving laws, and providing expert guidance to address potential compliance gaps. By maintaining a structured and responsive compliance framework, organizations can protect their reputation, strengthen stakeholder confidence, and sustain operational resilience in dynamic regulatory environments.

Regulatory Environment and Framework

Key Regulators & Rules

Financial Conduct Authority (FCA): Oversees conduct regulation for firms in capital markets, ensuring integrity, transparency, and consumer protection.
Prudential Regulation Authority (PRA): Focuses on the prudential safety and soundness of firms.
London Stock Exchange (LSE): Sets listing and disclosure rules for companies accessing public capital.
Other regulatory bodies: Panel on Takeovers and Mergers (POTAM), The Bank of England, and post-Brexit UK adaptations of EU regulations.

Key Regulations & Directives

Market Abuse Regulation (MAR): Prohibits insider dealing, market manipulation, and requires disclosure of inside information.
Prospectus Regulation: Governs the publication of prospectuses for public offerings and admission to trading.
MiFID II / MiFIR (Markets in Financial Instruments Directive/Regulation): Provides the regulatory framework for investment services and market infrastructure.
Listing Rules: Detailed rules on continuous disclosure, significant transactions, and corporate governance for listed companies.
Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) Rules: Firms must implement strict customer due diligence and transaction monitoring.

How ABM Global Helps in Ongoing Compliance Support

Regulatory Change Management

ABM continuously monitors FCA/PRA rules, EU-derived UK laws, and market operator requirements. We assess the impact of changes on your business, update policies, advise on system upgrades, and provide staff training and timely regulatory alerts.

Policies, Procedures & Frameworks

We draft, review, and maintain market conduct, disclosure, whistleblowing, and conflicts-of-interest policies. ABM also develops compliance manuals and operational guides to ensure your procedures align with current regulations.

Compliance Training & Culture

ABM delivers tailored training for board members, front office, and support staff. We create e-learning modules and refresher courses while embedding a compliance-first culture across the organization.

Risk Assessment & Controls

Our experts perform comprehensive compliance risk assessments focused on market abuse, transaction reporting, and AML/CTF vulnerabilities. We implement trade surveillance systems, insider list management tools, robust KYC/AML onboarding, and conduct periodic audits.

Monitoring & Reporting

ABM establishes ongoing monitoring procedures for trading activities, transaction reporting, and disclosure timelines. We support automated or manual regulatory reporting, transparency reports, and suspicious activity reports (SARs) where applicable.

Advisory & Governance Support

We advise on regulatory strategy, support board and senior management, and provide guidance during IPOs, secondary offerings, and debt market issuances. ABM also assists with insider dealing frameworks, blackout periods, and market abuse prevention, as well as RegTech advisory for automation and compliance integration

Documentation & Record-Keeping

ABM helps establish record-keeping frameworks compliant with FCA/PRA standards, ensuring communications, transaction records, and insider lists are retained securely, digitally archived, and audit-ready

Continuous Improvement & Benchmarking

We conduct benchmarking against industry best practices, identify gaps, recommend process enhancements, and facilitate external audits or independent compliance reviews.

Crisis & Cross-Border Support

ABM provides immediate advisory support for suspected breaches, market abuse incidents, and data leaks. We assist with internal investigations, remedial actions, and coordination of UK regulatory requirements with international operations.

Driving Impact: ABM’s Capital Markets Compliance & Client Success and engagement Solutions

1. Targeted Outreach to High-Value Prospects

ABM focuses on identifying and engaging specific organizations (e.g., investment banks, listed companies, asset managers) that have the greatest need for capital markets compliance advisory.
By tailoring marketing and sales efforts to key decision-makers such as compliance officers, legal counsels, CFOs, and board members, ABM ensures your message hits the right audience.

2. Personalized Messaging

Develop highly relevant, customized content addressing the unique regulatory challenges and compliance pain points faced by each target firm.
Highlight how your compliance support services solve specific issues like MAR adherence, transaction reporting, insider list management, or audit preparedness.
Use case studies, whitepapers, or regulatory updates tailored for each prospect’s sector and compliance maturity level.

3. Improved Engagement & Relationship Building

ABM strategies include multi-channel outreach (email, LinkedIn, webinars, events) aimed at building trust with prospects over time.
Provide ongoing value via thought leadership and advisory content — e.g., regulatory change briefings, compliance workshops, or training invitations.
This relationship-building increases the likelihood of conversion from prospects to clients needing ongoing compliance support.

4. Sales and Marketing Alignment

ABM promotes close collaboration between marketing and sales teams, ensuring consistent messaging and seamless handoffs.
Sales teams get detailed insights on target accounts’ compliance concerns, enabling more consultative, advisory-led conversations
This alignment is crucial in complex sales environments like capital markets compliance services.

Ongoing Compliance Support – Legal Risk Management