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 clients with registration and licensing under Dutch and EU laws (including MiFID II), supporting investment services licences and market participant approvals.

Ongoing Compliance Management

ABM helps capital market participants meet ongoing reporting and disclosure obligations, adapting compliance programs to regulatory and market changes through continuous monitoring and audits.

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AML/CFT Compliance for Capital Markets

We develop AML/CFT frameworks specific to securities and investment markets aligned with Dutch, EU, and FATF requirements.

Corporate Governance & Risk Management

We advise on governance frameworks complying with Dutch and EU principles, enhancing transparency, investor protection, and operational resilience.

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Training and Education

Targeted training on securities laws, AML/CFT, insider trading prevention, and ethical market conduct delivered via workshops and e-learning.

Market Conduct & Insider Trading Controls

We help develop policies to prevent misconduct and insider trading, including employee trading rules, surveillance, and whistleblower programs to protect your firm and promote market integrity.