What is ongoing compliance support for AEMIs?

It refers to continuous services that help Authorised Electronic Money Institutions stay compliant over time — including monitoring regulation changes, updating policies, reviewing controls, training personnel, and responding to incidents or regulatory reviews.

Why is monitoring regulatory changes important?

Because rules, guidance, and regulatory expectations evolve, and failure to align with current obligations may lead to non-compliance, penalties or gaps in internal controls.

How often should compliance reviews or audits be conducted?

Typically at least annually, or more often if there are material changes in operations, regulatory environment, or after any significant compliance incident.

Is training included in ongoing support?

Yes. Staff training and awareness refreshers are usually part of ongoing compliance support to ensure personnel understand current regulatory requirements, internal policies, and compliance expectations.

How are incidents handled and remediated?

Incidents are investigated to determine root cause, corrective actions are developed and implemented, documentation is kept of the process, and lessons learned are integrated into policy revisions or process improvements.

Do you assist in preparing regulatory reports and liaising with regulators?

Yes. The support typically includes helping prepare, review, and submit required regulatory filings, as well as handling interactions with regulators (clarifications, queries, updates).

Ongoing Compliance Support | AEMI Regulatory Services

Ongoing Compliance Support

ABM provides continuous compliance support to ensure that your firm remains fully aligned with evolving regulatory requirements and industry best practices. Our retained services are designed to help institutions maintain robust controls, implement regulatory updates efficiently, and sustain operational integrity in dynamic business environments.

Continuous Policy Updates & Regulatory Alignment

Regulatory requirements are constantly evolving, and maintaining compliance demands timely adaptation. ABM monitors all relevant FCA regulations, guidance, and industry updates, ensuring that your policies, procedures, and internal controls are always current. We work closely with your team to update manuals, compliance frameworks, and operational policies, keeping your firm aligned with new rules and guidance without disruption to day-to-day operations.

Internal Audit Planning & Risk Reviews

A proactive approach to compliance requires regular assessment of controls and procedures. ABM supports your firm in planning and conducting internal audits, risk reviews, and process evaluations. Our team identifies gaps, assesses effectiveness, and recommends improvements to strengthen your compliance posture. By establishing structured audit cycles and follow-up processes, we ensure that risks are identified early and addressed systematically.

Periodic Health Checks & Operational Assurance

Beyond policy updates and audits, ABM provides periodic compliance health checks to assess the ongoing effectiveness of your controls across all operational areas. This includes reviewing AML/CFT processes, governance frameworks, reporting mechanisms, and technology systems. These health checks provide actionable insights to maintain high standards of compliance and operational resilience.

FCA-Ready Controls & Regulatory Confidence

Our approach ensures that your firm operates with FCA-ready controls at all times. By integrating continuous monitoring, timely updates, and practical guidance into your operational workflows, ABM helps your institution anticipate regulatory expectations and respond proactively to changes. This sustained compliance not only mitigates regulatory risk but also enhances stakeholder confidence in your governance and operational practices.