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

Licensing & Registration

We assist with obtaining required authorisations for financial institutions, payment service providers, investment firms, and VASPs/crypto custody providers. Our team manages applications, documentation, and liaison with competent authorities to ensure smooth approval processes.

Compliance Framework Development

We create tailored policies and controls covering AML, CTF, KYC, GDPR, conduct of business, and risk management, ensuring proactive compliance with German and EU standards.

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AML/CTF for Traditional & Virtual Assets

We develop AML/CTF frameworks for both fiat and crypto-related businesses, including CDD/EDD, sanctions screening, transaction monitoring, and STR protocols.

Internal Audit & Compliance Reviews

Our audits benchmark controls against regulatory expectations and best practice, providing gap analyses and remediation plans.

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Ongoing Compliance Outsourcing

Outsourced roles and advisory services cover regulatory monitoring, reporting, and governance support for fintechs, VASPs, and mid-sized institutions.

Regulatory Inspection Preparation

We conduct readiness reviews, mock audits, and develop response strategies to reduce enforcement risks.

Training & Development

Our training covers AML/CTF, crypto compliance, sanctions, market conduct, and ethical practices, with executive briefings for senior leadership.