What financial service firms does ABM Global Compliance support?

We assist firms in banking, payments, electronic money, capital markets, and other financial-services sectors with compliance, regulatory authorisation, AML/CTF, risk management, governance, and ongoing compliance support.

Do you help with regulatory licensing and authorisation?

Yes. We provide support with preparing applications, understanding requirements, capital, governance, policies, and liaising with regulators for financial services licensing.

What AML/CTF obligations do financial service firms need to meet?

They need to have customer due diligence (KYC/KYB), transaction monitoring, reporting of suspicious transactions, sanctions screening, risk assessment, record keeping, staff training, and internal oversight.

How often should financial service firms review and update their compliance frameworks?

At minimum annually, or sooner if there are regulatory changes, internal incidents, or business model changes that affect risk or operations.

What is regulatory reporting and how can you help?

Regulatory reporting includes periodic or ad-hoc filings required by regulators. We help firms prepare, review, submit these reports accurately and on time, and advise on new reporting requirements.

Why are governance & internal controls important in financial services?

Good governance ensures accountability, oversight, risk awareness, and helps maintain regulatory compliance. Internal controls help prevent errors, fraud, non-compliance, and protect the firm and its customers.

Financial Services Advisory | ABM Global Compliance

Regulatory Licensing & Registration

ABM assists clients in obtaining registrations and licences with Dutch regulators such as DNB, the Netherlands Authority for the Financial Markets (AFM), and ESMA. We guide firms through authorisation processes for payment institutions, electronic money institutions, and VASPs under Dutch and EU law, ensuring compliance with relevant legislation and fit-and-proper criteria.

Compliance Framework Development

We design customised compliance programs aligned with Dutch and EU regulations, including AML, CFT, KYC, GDPR data privacy, and risk management, enabling proactive risk identification and mitigation.

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AML/CFT Programs

Our AML/CFT solutions meet Dutch legislation, supervisory guidance, and FATF standards, covering CDD/EDD, sanctions and PEP screening, transaction monitoring, and suspicious transaction reporting.

Internal Audit & Compliance Reviews

ABM conducts independent audits and gap analyses to assess compliance program effectiveness, delivering remediation plans and preparing clients for supervisory audits.

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Ongoing Compliance Support & Outsourcing

We provide outsourced compliance roles with regulatory monitoring, impact assessments, reporting management, and governance support—ideal for startups and mid-tier firms.

Regulatory Inspections & Enforcement Preparation

ABM prepares clients for regulatory inspections via readiness reviews and mock audits, assisting with response strategies and corrective actions.

Training & Capacity Building

We offer training covering AML/CFT, sanctions, market conduct, breach reporting, and ethics, including executive briefings to ensure leadership readiness.