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 guide clients through AMF authorisations, MiFID II investment firm licensing, and market operator approvals (Euronext and other platforms).

Ongoing Compliance Management

We manage ongoing AMF, ACPR, and ESMA reporting obligations, including transaction reporting under MiFIR, market abuse regulation (MAR) disclosures, and governance updates.

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AML/CFT Compliance for Capital Markets

We design AML/CFT programs for trading environments, incorporating advanced monitoring for insider trading, market manipulation, and illicit fund flows.

Corporate Governance and Risk Management

We advise on AMF corporate governance guidelines, internal control systems, and risk management frameworks.

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Training and Education

We deliver targeted training on French securities law, MAR obligations, AML/CFT, and ethical market conduct.

Market Conduct & Insider Trading Controls

We implement monitoring systems, employee trading policies, and whistleblower programs in line with MAR and AMF market integrity rules.