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

We assist with authorisations from Finantsinspektsioon for securities market participation, investment services, and exchange operations under the Securities Market Act.

Ongoing Compliance Management

ABM supports firms in meeting periodic reporting, market abuse prevention, and continuous disclosure obligations under Estonian and EU (MAR, MiFID II) rules.

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AML/CTF for Capital Markets

Specialised AML/CTF programs for trading environments include advanced transaction monitoring, CDD/EDD, and FIU reporting to prevent money laundering in securities and derivatives markets.

Corporate Governance and Risk Management

We implement governance structures aligned with the Estonian Corporate Governance Recommendations, enhancing transparency and investor protection.

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Training and Education

Capital markets compliance training covers insider trading prevention, MAR obligations, AML/CTF, and market integrity standards.

Market Conduct & Insider Trading Controls

We develop surveillance systems, employee trading rules, and whistleblower programs to prevent insider trading and market manipulation.