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 assist capital market firms with SFC licensing under the Securities and Futures Ordinance, including licences for asset management, securities trading, and advising on corporate finance. Our experts prepare applications, liaise with regulators, and ensure compliance with fit-and-proper criteria.

Ongoing Compliance Management

ABM supports firms with continuous obligations under SFC rules, including reporting, disclosure, breach notifications, and conduct requirements. We design compliance frameworks that evolve with market developments and SFC guidance.

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AML/CTF Compliance for Capital Markets

We develop AML/CTF programs specific to capital markets participants, incorporating CDD/EDD, sanctions screening, monitoring of trading patterns, and suspicious activity reporting to the JFIU.

Governance & Risk Management

ABM advises on governance frameworks that align with the SFC Corporate Governance Code. Our services enhance transparency, internal controls, and board oversight, reducing conduct and operational risks.

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Training and Education

We deliver specialised training for directors, compliance officers, and traders on SFC rules, market misconduct prevention, insider dealing risks, and AML obligations.

Market Conduct and Insider Trading Controls

ABM helps firms implement surveillance and monitoring systems to detect market manipulation, insider trading, and false trading, ensuring compliance with SFC’s Market Misconduct Tribunal rules.