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 the complex registration and licensing process with the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and Commodity Futures Trading Commission (CFTC). We assist in preparing and submitting applications for broker-dealer, investment adviser, and futures commission merchant registrations. Our experts ensure compliance with all federal and state securities laws, helping firms meet fit-and-proper standards and regulatory expectations efficiently.

Ongoing Compliance Management

We help firms maintain adherence to ongoing reporting and disclosure obligations, including Form ADV (Investment Adviser Registration), Form BD (Broker-Dealer Registration), and other periodic filings. Our team designs customized compliance programs to address regulatory changes and evolving industry standards. Continuous monitoring and internal audits ensure your firm stays ahead of compliance risks and regulatory deadlines.

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Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Compliance Programs

ABM develops Anti-Money Laundering and Countering the Financing of Terrorism frameworks aligned with the Financial Crimes Enforcement Network (FinCEN) and Bank Secrecy Act (BSA) regulations tailored specifically for capital markets. We implement robust customer due diligence processes, transaction monitoring, and suspicious activity reporting systems. Our programs help detect and mitigate risks related to money laundering and terrorist financing within securities and derivatives trading environments.

Corporate Governance and Risk Management

We advise on establishing strong governance structures compliant with the Securities and Exchange Commission (SEC) and stock exchange requirements. Our services include developing internal controls and risk management policies that enhance transparency and investor protection. By embedding effective oversight mechanisms, we help reduce operational and compliance risks throughout your capital market activities.

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Training and Education

ABM delivers targeted training workshops and e-learning modules for compliance teams and management. Our courses cover securities laws, Anti-Money Laundering and Countering the Financing of Terrorism compliance, insider trading prevention, and ethical market conduct. This ongoing education fosters a culture of compliance and equips staff to identify and manage regulatory risks confidently.

Market Conduct and Insider Trading Controls

We assist in creating and enforcing comprehensive policies to prevent market abuse such as insider trading and manipulation. Our services include setting up monitoring systems, employee trading policies, and whistleblower programs in line with Securities and Exchange Commission (SEC) regulations. These controls protect your firm’s reputation and promote fair, transparent capital market operations.