What services does ABM Global Compliance offer to venture capital 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 venture capital 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 venture capital firms.

Why is a risk management framework important for venture capital firms?

A robust risk management framework helps venture capital 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 venture capital firms remain compliant with evolving regulations.

Venture Capital Compliance | FCA & Regulatory Advisory

Overview

Venture capital firms operate in a fast-paced environment, funding early-stage businesses that often carry higher risks and unique compliance challenges. Managing insider information, ensuring transparency in co-investment arrangements, and maintaining robust AML/KYC frameworks are crucial to safeguard reputation and meet regulatory obligations.

Key Compliance Challenges

Insider Information & MNPI Risks

VC firms must implement strong controls to manage material non-public information (MNPI) and mitigate insider trading risks across investment teams and portfolio companies.

Co-Investment Policy Compliance

Transparency in co-investment opportunities is essential. Firms must establish clear policies and ensure proper disclosure to investors to avoid conflicts of interest.

Regulatory Alignment Across Investment Lifecycle

From seed funding to later rounds, VC firms face regulatory obligations at each stage. Consistent compliance with local and international regulations is necessary to protect investors and the firm.

AML/KYC in VC Funding

Given the diversity of investors and early-stage companies, venture capital firms need tailored AML/KYC frameworks to identify risks, prevent misuse of funds, and comply with financial crime regulations.

How ABM Can Help

Licensing & Regulatory Approvals

ABM supports VC firms with licensing, fund registration, and regulatory consultations, ensuring smooth entry and compliance in regulated markets

Governance & Insider Trading Controls

We help design governance structures and insider trading policies that manage MNPI effectively and protect against regulatory breaches.

Co-Investment Policy Development

Our team assists in drafting and enforcing co-investment policies, ensuring compliance and transparency in investor relations

AML/KYC Due Diligence

We provide robust AML and KYC frameworks tailored to venture capital structures, covering investors and portfolio companies.

Regulatory Reporting & Monitoring

ABM manages timely filings of investment, transaction, and capital reports to meet FCA and other regulatory obligations.

Audit & Assurance

We conduct compliance audits, transaction monitoring, and sanctions screening to strengthen internal controls and reduce regulatory risks.

Training & Capacity Building

ABM delivers tailored training programs on VC-specific compliance risks, insider information handling, and evolving regulatory requirements.