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

We guide firms through licensing and authorisation processes for investment services, securities trading, and market participation under the FKTK and EU regulations (MiFID II, MAR).

Ongoing Compliance Management

ABM helps capital market participants maintain compliance with disclosure, reporting, and governance obligations. We conduct gap analyses, implement monitoring programs, and prepare for regulatory reviews.

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AML/CFT for Capital Markets

We design AML/CFT programs tailored for securities, derivatives, and investment products, including transaction monitoring and insider trading prevention controls.

Corporate Governance & Risk Management

Our services include governance frameworks aligned with EU corporate governance principles, enhancing transparency, investor protection, and operational resilience.

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Training and Education

We deliver training on EU securities laws, AML/CFT compliance, market abuse prevention, disclosure obligations, and ethical conduct.

Market Conduct & Insider Trading Controls

ABM helps implement controls to prevent market manipulation, insider trading, and false trading, ensuring compliance with Latvian and EU market integrity rules.