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 with registration and licensing under Lithuanian and EU laws (including MiFID II), helping firms obtain investment services licences and market approvals efficiently.

Ongoing Compliance Management

ABM supports ongoing reporting, disclosure, and breach management, offering tailored compliance programs with continuous monitoring and audits to keep firms ahead of regulatory changes.

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AML/CFT Compliance for Capital Markets

We develop AML/CFT frameworks for securities and investment markets aligned with Lithuanian, EU, and FATF requirements, covering CDD, transaction monitoring, and sanctions screening.

Corporate Governance & Risk Management

We advise on governance frameworks meeting Lithuanian and EU principles, developing controls, compliance charters, and risk management systems to enhance transparency and resilience.

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Training & Education

Targeted training for compliance teams and management on securities laws, AML/CFT, insider trading prevention, disclosure, and ethics delivered via workshops and e-learning.

Market Conduct & Insider Trading Controls

We help create policies to prevent misconduct and insider trading, including employee trading rules, market surveillance, and whistleblower programs to protect your firm and ensure fair markets.