What services does ABM Global Compliance offer to investment firms?

ABM Global Compliance provides a range of services including FCA authorisation, AML/CTF policy development, risk management frameworks, governance and internal controls, regulatory reporting, and ongoing compliance support.

How can ABM Global Compliance assist with FCA authorisation?

We assist investment firms in obtaining FCA authorisation by preparing the necessary application documentation, establishing governance structures, and ensuring compliance with regulatory requirements.

What is included in AML/CTF & KYC/KYB policy development?

Our services include the development and implementation of anti-money laundering, counter-terrorist financing, and know-your-customer/business policies tailored to the specific needs of investment firms.

Why is a risk management framework important for investment firms?

A robust risk management framework helps investment firms identify, assess, and mitigate potential risks, ensuring compliance with regulatory requirements and protecting the firm's reputation.

What does ongoing compliance support entail?

Ongoing compliance support includes continuous monitoring of compliance status, staff training, and updates on regulatory changes to ensure investment firms remain compliant with evolving regulations.

Investment Firm Services | Regulatory & Compliance

Investment Firm

Investment firms operate in a highly regulated environment where compliance, risk management, and client protection are critical to long-term success. Firms must demonstrate strong governance, ethical conduct, and transparent operations while meeting complex requirements such as KYC/AML compliance, suitability of investment advice, data protection, and market abuse prevention.

At ABM Global, we provide specialised compliance and risk management services tailored to investment firms, helping them remain resilient, audit-ready, and aligned with both local and international regulations.

How ABM Supports Investment Firms

Compliance Advisory & Risk Management

Tailored frameworks covering governance, client onboarding, transaction monitoring, and incident reporting to ensure regulatory alignment and operational resilience.

Technology-Driven Solutions

Tailored frameworks covering governance, client onboarding, transaction monitoring, and incident reporting to ensure regulatory alignment and operational resilience.

Training & Capacity Building

Staff training and awareness programs to instill a strong compliance culture across all levels of the organisation

Independent Audits & Risk Assessments

Proactive reviews and gap analyses to identify vulnerabilities, strengthen controls, and meet regulatory expectations with confidence.

Emerging Regulatory Guidance

Expertise in navigating new obligations such as ESG requirements and cryptocurrency regulations, ensuring firms stay ahead of evolving risks.

Who We Support

We deliver customised solutions for a wide range of investment sector participants, including: