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 guide clients through MFSA registration and licensing for investment services, securities trading, and market participation under Maltese and EU regulations including MiFID II and MAR.

Ongoing Compliance Management

ABM assists capital market participants in meeting ongoing reporting, disclosure, and governance obligations. Our compliance programs adapt to regulatory changes and evolving market integrity standards.

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AML/CFT Compliance Programs for Capital Markets

We develop AML/CFT frameworks specifically for securities, derivatives, and investment markets, incorporating sanctions screening, transaction monitoring, and suspicious activity reporting.

Corporate Governance & Risk Management

Our advisory services help implement governance frameworks aligned with MFSA and EU corporate governance principles, enhancing transparency, investor protection, and operational resilience.

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Training and Education

ABM delivers training on securities laws, AML/CFT compliance, insider trading prevention, continuous disclosure, and ethical market conduct, using workshops, scenario-based exercises, and e-learning.

Market Conduct & Insider Trading Controls

We support the development and enforcement of policies to prevent market abuse, insider trading, and false trading, implementing surveillance systems and whistleblower programs in line with regulatory standards.