What services does ABM Global Compliance offer to private equity 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 private equity 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 private equity firms.

Why is a risk management framework important for private equity firms?

A robust risk management framework helps private equity 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 private equity firms remain compliant with evolving regulations.

Private Equity Compliance | FCA Regulatory Advisory

Overview

Private equity firms operate in a highly regulated environment, managing long-term investments that involve complex fundraising, governance, and exit strategies. Ensuring compliance across each stage of the investment lifecycle is essential to protect investor confidence, meet regulatory expectations, and maintain operational transparency.

Key Compliance Challenges

Fundraising & Offering Documents

Preparing compliant offering memoranda and fundraising materials while adhering to FCA and other regulatory mandates is a significant challenge. Firms must ensure accuracy, transparency, and legal soundness in all investor communications.

Governance & Investor Relations

Private equity structures require strong governance frameworks that align with regulatory standards and investor expectations. Effective oversight of fund operations, reporting, and investor relations is critical to building trust.

Valuation & Exit Compliance

Valuation processes and exit strategies must meet strict compliance standards. Regulatory approval, fair valuation methodologies, and transparent reporting are necessary to satisfy both regulators and investors during exit events.

AML/KYC for Investors & Portfolio Companies

Due diligence obligations extend beyond investors to portfolio companies. Robust AML/KYC processes are essential to mitigate financial crime risks and ensure compliance with anti-money laundering and counter-terrorist financing rules.

How ABM Can Help

Regulatory Licensing

We guide private equity firms through FCA licensing, fund registration, and post-approval compliance monitoring to ensure smooth regulatory approval.

Fund Governance

ABM develops governance policies tailored to private equity operations, ensuring adherence to investor protection, fiduciary responsibilities, and reporting standards.

Fundraising Compliance

We assist in drafting offering documents, investor disclosures, and marketing materials that comply with FCA rules and protect against misrepresentation risks

Valuation & Exit Strategy Compliance

Our team supports firms in implementing compliant valuation practices and exit event reporting, ensuring transparency and regulatory acceptance.

AML/KYC Solutions

ABM designs and implements AML/KYC frameworks to cover both investors and portfolio companies, safeguarding against reputational and regulatory risks.

Reporting & Monitoring

We manage capital, liquidity, and investor reporting obligations, providing end-to-end compliance support for ongoing operations.

Audit & Assurance

Regular compliance audits, AML/CFT reviews, and remediation services help private equity firms stay ahead of regulatory scrutiny.

Training & Capacity Building

ABM provides tailored training on FCA rules, AML compliance, and governance requirements, equipping staff to manage private equity’s unique operational risks.