Compliance Advisory & Regulatory Support
Effective compliance is an ongoing commitment, not a one-time exercise. At ABM Global Compliance, we provide specialist Compliance Advisory & Regulatory Support services that help capital market participants maintain regulatory compliance, respond to legislative developments, strengthen governance, and manage evolving supervisory expectations. Our practical, risk-based advisory approach enables firms to remain compliant while supporting operational efficiency and sustainable business growth.
Managing Regulatory Change with Confidence
Capital market participants operate within a dynamic regulatory environment where new legislation, supervisory expectations, and market developments require continuous attention. Investment firms, securities dealers, asset managers, issuers, and other regulated entities must maintain effective compliance arrangements that evolve alongside Austrian and European regulatory requirements. Effective compliance is an ongoing commitment, not a one-time exercise.
European capital markets regulation continues to evolve through new legislation, regulatory guidance, supervisory priorities, and market reforms. Firms must continually assess the impact of these developments on their governance, policies, operational processes, and compliance framework. A proactive compliance programme helps organisations identify regulatory risks early, implement regulatory changes efficiently, strengthen internal controls, and maintain constructive relationships with supervisory authorities.
Our Compliance Advisory & Regulatory Support Services
ABM supports firms in building resilient compliance frameworks that remain aligned with Austrian and European regulatory expectations.
Ongoing Compliance Support
Continuous compliance advisory services that help firms maintain effective compliance programmes, respond to regulatory.
MiFID II / MiFIR Compliance
Implementing and maintaining compliance with MiFID II and MiFIR, including governance arrangements, conduct requirements.
Market Abuse Regulation (MAR)
Establish effective market abuse compliance frameworks covering insider dealing, unlawful disclosure of inside information.
EMIR, SFTR & PRIIPs Compliance
Meeting obligations under the European Market Infrastructure Regulation, the Securities Financing Transactions Regulation.
Prospectus Regulation & Transparency Directive Compliance
Issuers and regulated entities on compliance with the Prospectus Regulation and the Transparency Directive.
Sustainable Finance (SFDR & Taxonomy Regulation)
Implement sustainable finance requirements under the Sustainable Finance Disclosure Regulation and the EU Taxonomy.
Ready to Strengthen Your Compliance?
Why Capital Market Participants in Austria Choose ABM
Specialist regulatory expertise
We understand the supervisory expectations of the FMA together with the European regulatory.
Practical compliance advisory
Our solutions help firms implement complex regulatory requirements in a commercially practical.
Tailored support and Delivery
Advisory services designed around your business model, regulated activities, governance structure, and compliance.
Supporting Your Business Across Austria
Effective compliance requires continuous monitoring, timely implementation of regulatory changes, and a proactive approach to governance. By strengthening compliance frameworks and responding effectively to evolving regulatory requirements, capital market participants can reduce regulatory risk, maintain investor confidence, and support sustainable business growth.
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 ongoing compliance support include?
Compliance monitoring, regulatory change tracking, periodic reviews, policy refreshes, day-to-day advisory, and preparation for supervisory interactions, all scaled to your size and risk profile.
How often should compliance be reviewed?
At least annually for the whole framework, with continuous monitoring in between and immediate reviews after regulatory change, new products, growth, or supervisory findings.
Can you act as our compliance function?
We strengthen your compliance function rather than replace it. Regulated firms must own compliance responsibility, so accountability stays inside your organisation while we provide the expertise.
How do you track regulatory change?
We monitor Austrian and European developments affecting your sector, assess what each change means for your obligations, and translate it into practical implementation steps.
Will you prepare us for the FMA inspections?
Yes. We run readiness reviews before supervisory interactions, strengthen documentation and evidence, brief management on likely focus areas, and support remediation afterwards.