What is banking compliance and why is it important?

Banking compliance refers to the process and controls that banks put in place to ensure they adhere to applicable laws, regulations, and industry standards. It is crucial to manage legal risk, build trust with regulators, and maintain operational integrity.

Which regulations are applicable to banks in the UK?

In the UK, banks must comply with regulations such as the Financial Services and Markets Act, Prudential Regulation Authority (PRA) rules, Financial Conduct Authority (FCA) regulations, anti‐money laundering (AML) laws, and data protection requirements.

Do you assist with obtaining banking licences and regulatory authorisations?

Yes. ABM Global Compliance provides support throughout the process of obtaining banking licences and regulatory authorisations, including preparing documentation, liaising with regulators, and ensuring ongoing compliance.

What is involved in a banking compliance audit?

A banking compliance audit involves reviewing policies, systems, and practices to identify gaps in regulatory compliance; assessing risk exposure; and recommending corrective actions to ensure full compliance with applicable regulatory standards.

How can strategic compliance solutions help my bank?

Strategic compliance solutions help banks align their compliance frameworks with business goals, implement robust systems for risk mitigation, and stay ahead of regulatory changes to avoid fines and reputational damage.

How do you monitor changes in banking regulation?

ABM Global Compliance tracks regulatory updates from bodies such as the FCA, PRA, and other relevant international regulators and reviews internal policies accordingly; we also provide advisory services to adapt to new requirements quickly.

Is there ongoing support after compliance frameworks are set up?

Yes. We offer ongoing monitoring, periodic reviews, staff training, compliance reporting, and adjustments to your framework as regulations evolve.

How do I start working with ABM Global Compliance for banking services?

You can contact us via phone at +44 207 515 7080 or email info@abmglobalcompliance.com/nl. We begin with a discovery call to understand your needs, then propose a tailored compliance plan.

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Compliance Frameworks for Dutch Banks

ABM Global Compliance designs and implements robust compliance frameworks aligned with De Nederlandsche Bank (DNB), European Central Bank (ECB), and EU regulations. We cover governance, risk management, AML/CTF controls, credit risk, and third-party compliance, using automated tools for real-time risk monitoring.

AML/CTF Program Development & Reviews

We help banks develop and enhance AML/CTF programs per Dutch laws, DNB guidelines, and FATF standards, including CDD/EDD, sanctions and PEP screening, transaction monitoring, and suspicious reporting. Our independent reviews and gap analyses prepare banks for supervisory inspections.

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Regulatory Licensing & Advisory

ABM advises on obtaining and maintaining banking licences under DNB supervision, supporting applications, amendments, and compliance submissions. We also assist foreign branches with local licensing and cross-border compliance.

Outsourced Compliance Functions

We provide outsourced roles such as Chief Compliance Officer (CCO), MLRO, and Data Protection Officer (DPO) to manage daily compliance, reporting, governance, and advisory needs cost-effectively.

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Training & Capacity Building

Tailored training for compliance teams and management on Dutch and EU regulations covering AML/CTF, risk management, outsourcing, GDPR, and controls, delivered through workshops, e-learning, and executive briefings.

Internal Audit & Readiness Reviews

We conduct internal audits and mock inspections to assess compliance with Dutch banking laws, DNB, and EU directives, offering detailed reports and recommendations for regulatory readiness.

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Cross-Border & EU Compliance

Advisory for Dutch banks with international operations on multi-jurisdictional compliance including FATCA, CRS, and EU AML/CFT rules, supporting policy harmonisation and regulator coordination.

Ongoing Compliance Support

Continuous advisory services with quarterly health checks, regulatory updates, and compliance reporting to ensure institutions stay ahead of regulatory changes and maintain readiness.