Compliance Services for European Investment Firms
Investment firms carry a regulatory load that grew heavier with the IFD and IFR. ABM Global Compliance supports investment firms across the EU with MiFID II authorisation, prudential classification and compliance, conduct obligations, and ongoing regulatory support, giving your firm the compliance capability European supervision now demands at every stage of growth.
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A Prudential Regime Built for You
The Investment Firm Directive and Regulation changed the game for European investment firms. Prudential requirements now scale with your classification, from small non-interconnected firms to those treated like credit institutions, covering capital, liquidity, concentration risk, remuneration, and reporting. Layered on top sit MiFID II conduct obligations: suitability, best execution, product governance, and disclosure, all supervised continuously.
Classification questions alone catch many firms out: K-factor calculations, thresholds, and group considerations determine your entire prudential burden, and errors run expensive in both directions. Add ESMA guidelines developing constantly and national regulators running thematic reviews, and investment firms need compliance partners who understand exactly how the framework applies to their specific permissions and business model.
How We Support Investment Firms
Our services cover the complete investment firm lifecycle: permission scoping and MiFID authorisation, IFD classification and prudential compliance, conduct frameworks, compliance monitoring programmes, regulatory reporting, financial crime compliance, and training, all matched to your firm class, permissions, and the markets where you operate.
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 Investment Firms Across Europe Choose ABM
Classification Clarity
IFD firm classes, K-factors, and prudential requirements interpreted correctly first time every time.
Conduct Depth
Suitability, best execution, and product your governance handled with genuine practical insight.
Scaled Support
Compliance capability matched to your firm size, permissions, and growth plans every time.
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
Book Your Consultation
A confidential conversation about your licensing plans, compliance challenges, or regulatory questions, with no obligation attached.
Investment Firm Questions Answered
What capital does an investment firm need?
Initial capital under the IFD is EUR 75,000, 150,000, or 750,000 depending on permissions, with ongoing requirements determined by firm classification and K-factor calculations.
What are IFD firm classifications?
Firms fall into classes from small non-interconnected firms with lighter requirements to large firms treated like credit institutions, based on size and activity thresholds.
Do investment firm licences passport across Europe?
Yes. MiFID II authorisation in one member state passports across the EU for services or branches through notifications we prepare and manage.
What conduct rules apply to investment firms?
Client categorisation, suitability and appropriateness, best execution, product your governance, inducements, and disclosure obligations, applied proportionately to your services and client types.
Can you support newly authorised firms?
Absolutely. We help new firms stand up compliance monitoring, reporting, and governance for their first supervised year and beyond at every stage.