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 supports clients through CySEC licensing processes for CIFs, investment funds, fund managers (AIFMs, UCITS), and crypto-asset trading platforms. We also assist with approvals from the Cyprus Stock Exchange (CSE) and cross-border passporting under EU rules.

Ongoing Compliance Management

We ensure continuous compliance with CySEC, CSE, and EU regulations, including reporting, disclosures, and market integrity obligations.

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AML/CTF Compliance Programs

AML/CTF programs are tailored to the capital markets sector, addressing specific risks in securities trading, investment funds, and derivatives markets.

Corporate Governance and Risk Management

We implement governance frameworks in line with CySEC’s governance guidelines and the CSE Corporate Governance Code, ensuring transparency and investor confidence.

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Training and Education

We provide sector-specific training on securities law, AML/CTF, market abuse prevention, and disclosure obligations.

Market Conduct and Insider Trading Controls

We develop and enforce policies to prevent insider trading, market manipulation, and false trading, supported by surveillance systems and whistleblower frameworks.