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 guide fintechs, payment providers, and VASPs through licensing processes with the HKMA, SFC, and IA. This includes SVF licences, money service operator (MSO) licences, and virtual asset trading platform approvals under Hong Kong’s new regulatory regime.

Compliance Framework Development

Our team designs policies covering AML/CTF, KYC, data privacy under Hong Kong’s PDPO (Personal Data Privacy Ordinance), cybersecurity, and operational risk management.

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Internal Audit & Compliance Reviews

We conduct independent compliance audits, reviewing AML programs, governance controls, and operational resilience against HKMA, SFC, and FATF requirements.

Outsourced Compliance & Ongoing Support

ABM provides outsourced MLRO and compliance officer roles, regulatory reporting support, and advisory services for firms seeking agile and scalable compliance solutions.

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Regulatory Inspections & Enforcement Preparation

We prepare firms for SFC and HKMA inspections, conducting readiness assessments and advising on remediation to mitigate enforcement risks.

Training & Capacity Building

Our training programs cover AML/CTF compliance, SFC market conduct rules, data privacy obligations, and fintech regulatory developments. We ensure boards, executives, and staff are fully equipped to meet governance responsibilities.