{"id":93891,"date":"2025-05-27T17:06:06","date_gmt":"2025-05-27T17:06:06","guid":{"rendered":"https:\/\/demo.abmglobalcompliance.com\/hk\/?page_id=93891"},"modified":"2025-10-13T12:10:04","modified_gmt":"2025-10-13T12:10:04","slug":"capital-market","status":"publish","type":"page","link":"https:\/\/abmglobalcompliance.com\/hk\/capital-market\/","title":{"rendered":"Capital Market"},"content":{"rendered":"\t\t
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Regulatory Advisory & Licensing Support<\/h2><\/div>
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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.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

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\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"Regulatory\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
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Ongoing Compliance Management<\/h2><\/div>
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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.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

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Book a Free Consultation \u2013 Get Licensed\u00a0Faster!<\/h2><\/div>
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AML\/CTF Compliance for Capital Markets<\/h2><\/div>
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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.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

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Governance & Risk Management<\/h2><\/div>
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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.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

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Book a Free Consultation \u2013 Get Licensed\u00a0Faster!<\/h2><\/div>
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Training and Education<\/h2><\/div>
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\n\t\t\t\t\t\t\t\t\tWe deliver specialised training for directors, compliance officers, and traders on SFC rules, market misconduct prevention, insider dealing risks, and AML obligations.\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
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Market Conduct and Insider Trading Controls<\/h2><\/div>
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\n\t\t\t\t\t\t\t\t\tABM helps firms implement surveillance and monitoring systems to detect market manipulation, insider trading, and false trading, ensuring compliance with SFC\u2019s Market Misconduct Tribunal rules.\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
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\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"Trading\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t","protected":false},"excerpt":{"rendered":"

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..<\/p>\n","protected":false},"author":2,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":"","_links_to":"","_links_to_target":""},"class_list":["post-93891","page","type-page","status-publish","hentry"],"yoast_head":"\nCapital Market Advisory | Compliance & Governance<\/title>\n<meta name=\"description\" content=\"Expert compliance and advisory for capital markets. 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