Regulatory Authorisation & Licensing Services in Austria
A successful regulatory application begins with strong governance, comprehensive documentation, and a clear compliance strategy. At ABM Global Compliance, we provide specialist Regulatory Authorisation & Licensing services that help capital market participants navigate complex regulatory processes with confidence. Our practical, risk-based approach supports firms from initial planning through authorisation, implementation, and ongoing regulatory compliance.
Building a Strong Regulatory Foundation
Obtaining the appropriate regulatory authorisations is essential for firms seeking to provide investment services or operate within Austria’s capital markets. Whether establishing an investment firm, launching a trading venue, expanding regulated activities, or entering the Austrian market through European passporting, firms must demonstrate compliance with Austrian and European regulatory requirements.
Authorisation is more than a regulatory application. It demonstrates that an organisation has appropriate governance, operational capability, financial resources, compliance arrangements, and risk management systems to operate within the financial markets. The Austrian Financial Market Authority (FMA) expects applicants to maintain robust organisational structures and demonstrate their ability to comply with ongoing supervisory obligations.
Our Regulatory Authorisation & Licensing Services
ABM supports firms throughout the authorisation process, helping them prepare for regulatory review while building long-term regulatory resilience.
Investment Firm Licensing (MiFID II)
The investment firm licensing process by assisting with application preparation, governance documentation, compliance frameworks.
Trading Venue & Market Infrastructure Authorisation
Operators seeking authorisation for regulated markets, multilateral trading facilities, organised trading facilities, and other.
Cross-Border Passporting & Market Access
To establish or expand cross-border operations by providing guidance on European passporting, Austrian market.
Regulatory Change Management
Assess new regulatory developments, evaluate their operational impact, implement regulatory changes, and maintain compliance.
Competent Authority Engagement
Preparing for regulatory interactions, supervisory meetings, information requests, and ongoing engagement with the FMA.
Ready to Strengthen Your Compliance?
Why Capital Market Participants in Austria Choose ABM
Specialist regulatory expertise
We understand the licensing and supervisory expectations of the FMA across Austria's regulated.
End-to-end regulatory support
From initial licensing strategy through ongoing supervisory engagement, we provide practical support throughout.
Tailored advisory services
Our solutions are designed around your business model, regulated activities, governance arrangements.
Building a Strong Foundation for Market Entry
Successful regulatory authorisation requires careful preparation, effective governance, and a proactive approach to compliance. By establishing robust regulatory frameworks from the outset, capital market participants can improve regulatory outcomes, strengthen supervisory relationships, and position themselves for long-term success within Austria’s regulated financial markets.
Compliance advisory, regulatory reporting, and financial crime frameworks for Austrian banks and credit institutions.
MiFID II, market abuse, and transaction reporting support for capital markets participants.
Authorisation, governance, and ongoing compliance support built around your investment firm obligations.
Practical compliance frameworks for asset managers, AIFMs, and UCITS management companies alike.
Licensing, safeguarding, and operational compliance support for payment institutions in Austrian markets.
EMI authorisation, safeguarding arrangements, and ongoing regulatory reporting support across the EU.
Regulatory guidance that keeps innovative business models compliant from launch through scale.
MiCA, DORA, and digital asset compliance for Europe’s next generation of finance.
Trusted and Loved by Our Clients Across the Europe
Businesses in Austria and 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
Speak to a Austrian Compliance Specialist
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.
Your Questions Answered
What does the FMA expect from applicants?
Substance over paperwork: credible governance with fit-and-proper leadership, a realistic business plan, effective AML/CFT arrangements, adequate capital, and genuine operational readiness before submission.
How long does authorisation usually take?
Several months to a year depending on licence type, plus preparation time. Complete, well-evidenced applications move through regulatory review considerably faster than incomplete ones.
Can you prepare the application for us?
We prepare it with you. Our specialists draft the documentation and build the frameworks behind it, while your leadership owns the business plan and regulatory relationship.
What happens after the licence is granted?
Supervision begins. Governance, reporting, AML/CFT, and notification obligations apply from day one, so we help newly authorised firms move into sustainable ongoing compliance.
Do you support passporting into other countries?
Yes. Austrian authorisation can generally be passported across the EU through host-state notifications, and we support the process including the obligations that remain local.