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 assists clients with registration and licensing under Singapore and international laws (including MiFID II equivalence), supporting capital markets services licences and market participant approvals.

Ongoing Compliance Management

We help capital market participants meet ongoing reporting and disclosure requirements, adapting compliance programs to evolving regulatory developments through continuous monitoring and internal audits.

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AML/CFT Compliance for Capital Markets

We develop AML/CFT frameworks tailored for securities and investment markets, aligned with MAS regulations, FATF standards, and international best practices.

Corporate Governance and Risk Management

We advise on governance frameworks compliant with MAS guidelines and international principles to enhance transparency, investor protection, and operational resilience.

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Training and Education

Targeted training on securities laws, AML/CFT compliance, insider trading prevention, and ethical market conduct is delivered through interactive workshops and e-learning modules.

Market Conduct and Insider Trading Controls

We assist in developing policies to prevent market misconduct and insider trading, including employee trading rules, market surveillance, and whistleblower programs to safeguard your firm’s reputation and promote market integrity.