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

Regulatory Licensing & Registration

We guide clients through licensing and registration with Finantsinspektsioon and the FIU, covering investment firm authorisations, payment institution licences, crowdfunding platform approvals, and registration as a Virtual Asset Service Provider (VASP). Our services ensure compliance with the Securities Market Act, Payment Institutions and E-money Institutions Act, and relevant EU regulations (MiFID II, PSD2, AMLDs).

Compliance Framework Development

We design tailored compliance programs covering AML/CTF, KYC, GDPR, risk management, and MiFID II conduct requirements. Our policies ensure operational resilience, proactive risk detection, and ongoing alignment with Estonian and EU rules.

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AML/CTF Programs

ABM builds AML/CTF frameworks that meet Estonian, EU, and FATF requirements, integrating CDD/EDD, sanctions screening, real-time transaction monitoring, and suspicious activity reporting protocols.

Internal Audit & Compliance Reviews

We perform independent reviews to test compliance systems, identify gaps, and deliver remediation plans, preparing firms for Finantsinspektsioon and FIU inspections.

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Ongoing Compliance Support & Outsourcing

Outsourced compliance roles help businesses maintain daily compliance monitoring, regulatory reporting, and board updates — ideal for start-ups, fintechs, and VASPs.

Regulatory Inspections & Enforcement Preparation

We run readiness assessments and mock audits, guiding firms through regulatory interviews, documentation reviews, and enforcement response strategies.

Training & Capacity Building

Custom training modules cover AML/CTF, GDPR, market conduct, MiFID II rules, and ethical business practices, ensuring leadership and staff remain fully equipped to meet compliance duties.