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

We support licensing for investment services, trading venues, and market participation, including applications, authorisations, and registration with exchanges.

Ongoing Compliance Management

We help market participants meet transaction reporting, market abuse prevention, and disclosure obligations in line with EU rules.

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AML/CTF in Securities & Crypto Markets

We design AML/CTF programs specific to securities, derivatives, and digital asset markets.

Governance and Risk Management

We advise on governance structures that strengthen transparency, oversight, and resilience.

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Training and Education

Specialised training addresses securities laws, insider trading prevention, market conduct rules, and AML/CTF obligations.

Market Conduct Controls

We assist in building policies and surveillance systems to prevent market abuse, insider dealing, and manipulation.