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

ABM guides clients through licensing with SECP, Pakistan Stock Exchange (PSX), and Central Depository Company (CDC). We assist with securities broker licences, futures market participant approvals, and other capital market authorisations under the Securities Act 2015.

Ongoing Compliance Management

We help firms meet SECP and PSX reporting obligations, continuous disclosure requirements, and market conduct rules, with tailored compliance frameworks and monitoring systems.

Book a Free Consultation – Get Licensed Faster!

AML/CFT for Capital Markets

We develop AML/CFT frameworks specific to capital market participants, covering investor due diligence, trade surveillance, sanctions screening, and STR processes.

Corporate Governance & Risk Management

We advise on governance frameworks under SECP’s Listed Companies (Code of Corporate Governance) Regulations 2019, enhancing transparency and investor protection.

Book a Free Consultation – Get Licensed Faster!

Training & Education

Our capital market training covers securities laws, AML/CFT compliance, insider trading prevention, and market conduct.

Market Conduct & Insider Trading Controls

ABM helps develop policies to prevent insider trading, market manipulation, and other abuses, with monitoring systems and whistleblower programs.