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 assist in obtaining AMF and ACPR licences, including investment firm authorisations, insurance intermediary approvals, and VASP registration under AMF guidelines. We ensure compliance with the Monetary and Financial Code, MiFID II, AMLD6, and other applicable frameworks.

Compliance Framework Development

We design tailored compliance programs covering AML/CFT, KYC, GDPR data protection, conduct of business rules, and risk management standards.

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AML/CFT Programs

We build AML/CFT frameworks aligned with French law, TRACFIN obligations, and FATF recommendations, including CDD, EDD, sanctions screening, transaction monitoring, and suspicious transaction reporting.

Internal Audit & Compliance Reviews

Our audits assess controls, governance, and AML/CFT programs against AMF, ACPR, and EU requirements.

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Ongoing Compliance Support & Outsourcing

We provide outsourced RCCI, MLRO, and DPO functions, monitoring regulatory developments and managing ongoing reporting.

Regulatory Inspections & Enforcement Preparation

We prepare clients for AMF and ACPR inspections with readiness reviews, mock audits, and remediation planning.

Training & Capacity Building

We deliver training on French and EU regulations, AML/CFT, sanctions compliance, market conduct, and ethical business practices.