Capital Markets Compliance for European Market Participants
Capital markets regulation is dense, technical, and constantly moving. ABM Global Compliance supports brokers, investment firms, trading platforms, and market participants across the EU with MiFID II compliance, market abuse controls, transaction reporting, and prudential support, keeping your business aligned with ESMA expectations and your national regulator in every market where you operate.
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Markets Regulation Never Stands Still
Capital markets participants face regulation on every layer of their business. MiFID II and MiFIR govern conduct, transparency, and reporting, the Market Abuse Regulation demands genuine surveillance capability, the IFD and IFR set prudential requirements by firm classification, and ESMA guidelines keep adding interpretive detail. National regulators then apply their own priorities, and thematic reviews test whether arrangements work in practice.
The firms that struggle are rarely careless: they are busy. Trading desks move faster than policy updates, transaction reporting errors accumulate silently until regulator analytics surface them, and surveillance systems drift out of calibration as products change. Markets compliance needs continuous attention from specialists who understand both the rules and the business they regulate.
How We Support Markets Participants
Our capital markets compliance services span the full obligation stack: regulatory advisory and perimeter analysis, authorisation and licensing, ongoing compliance monitoring, transaction reporting and governance, market abuse surveillance, financial crime frameworks, independent audit, and training, delivered by specialists who work in MiFID II and MAR every day.
MSP/MSB Compliance
MSB licensing, AML/CFT compliance frameworks, and ongoing regulatory support for money services businesses.
Crypto & Blockchain Compliance
MiCA authorisation, Travel Rule compliance, and financial crime frameworks for cryptoasset service providers.
Banking Compliance Advisory
Regulatory reporting, governance, and financial crime compliance frameworks for banks and credit institutions.
Capital Markets Compliance
MiFID II compliance, market abuse controls, and licensing support for European investment firms.
E-Money Compliance
EMI and payment institution licensing, safeguarding arrangements, and ongoing regulatory compliance support.
Unsure Where to Start?
Book a consultation and our specialists will map the right compliance path forward.
Why Markets Firms Across Europe Choose ABM
Markets Expertise
Consultants working inside MiFID II, MiFIR, MAR, and IFD requirements daily every time.
Technical Depth
Transaction your reporting, surveillance calibration, and prudential classification handled with genuine precision.
Practical Delivery
Advice built for trading floors and client desks, never just for files.
Ready to Strengthen Your Compliance?
Trusted and Loved by Our Clients Across the Europe
Businesses across Europe trust ABM to guide their licensing, strengthen their frameworks, and keep their compliance on track. Here is what founders, compliance officers, and executives say about working with our team.
Years Of Expertise
Trusted Expert Guidance, Just One Message Away
Tell us about your business and regulatory needs. One of our compliance specialists will respond within one working day with clear, practical next steps.
- Unit 6, Trinity Court, Fonthill Business Park, Clondalkin, Dublin 22, D22 YE30, Ireland
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A confidential conversation about your licensing plans, compliance challenges, or regulatory questions, with no obligation attached.
Capital Markets Questions Answered
Who regulates capital markets in Europe?
National competent authorities authorise and supervise firms under MiFID II, with ESMA driving supervisory convergence through guidelines that shape expectations across all member states.
What does markets compliance involve?
Authorisation, conduct obligations, best execution, product governance, transaction reporting, market abuse surveillance, and prudential requirements, supervised continuously by your regulator every time.
Do you support trading venues too?
Yes. We support MTF and OTF operators with authorisation, venue rules, surveillance obligations, and the additional transparency requirements venues carry every time.
Can you fix transaction reporting errors?
Yes. We quantify the issues, manage back-reporting and corrections, strengthen underlying processes, and handle the regulator conversation throughout remediation at every stage.
How often should surveillance be reviewed?
At least annually, and after product or venue changes, because surveillance calibrated for yesterday’s trading patterns quietly stops detecting today’s risks every time.