Internal Audit & Assurance for Investment Firms in Bulgaria
Find your weaknesses before supervisors or markets do. ABM Global Compliance provides independent internal audit and assurance for investment firms in Bulgaria, testing your MiFID II, MAR, and prudential arrangements the way regulators will.
Audits That Test What Supervisors Test
MiFID II expects investment firms to maintain an independent audit function proportionate to their business, yet many firms have never had their compliance genuinely challenged. Best execution arrangements, suitability processes, transaction reporting accuracy, and surveillance effectiveness often go untested until a thematic review or inspection tests them, which is the most expensive possible place to discover failures.
Our audits reverse that sequence entirely. Experienced markets specialists test your conduct arrangements, reporting accuracy, surveillance calibration, governance, and prudential processes against current requirements and actual practice, exactly as supervisors would. You receive findings prioritised by genuine risk, with practical remediation guidance your team can execute before anyone official arrives.
What Our Audit Coverage Includes
Assurance matters most where supervisors look hardest, so our audit coverage deliberately spans the areas that European markets regulators examine closely. From full framework audits to targeted deep dives, every engagement produces clear findings your board can act on confidently.
Compliance Framework Audits
Independent testing of your complete MiFID II arrangements against current requirements and practice.
Conduct Audits
Focused independent assurance covering your suitability, best execution, and product governance arrangements fully.
Reporting Accuracy Audits
Independent expert testing of your transaction reporting completeness, accuracy, and error handling processes.
Surveillance Effectiveness
Assessing whether your market abuse surveillance genuinely detects the abuse patterns it should.
Governance Audits
Independent assessment of board effectiveness, compliance function authority, and daily internal control operation.
Remediation Validation
Independent confirmation that your completed remediation work genuinely fixed what it claimed to.
Ready to Strengthen Your Compliance?
Why Investment Firms Choose ABM Audits
Supervisor Perspective
Audits designed around what markets regulators actually examine and most often criticise.
Genuine Independence
Objective findings delivered plainly and prioritised by real risk rather than politics.
Actionable Output
Clear remediation guidance your team can actually execute, not abstract audit observations.
Who We Audit Across Bulgaria
We audit brokers, portfolio managers, trading firms, and venue operators in Bulgaria. Whether you need your first independent audit, annual assurance, or validation after remediation, our specialists deliver findings worth acting on.
Compliance advisory, regulatory reporting, and financial crime frameworks for 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 across EU 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 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.
Markets Audit Questions Answered
Are investment firms required to have audits?
Yes, proportionately. MiFID II organisational requirements expect independent audit arrangements sized to your firm, and supervisors ask for audit evidence during reviews and inspections.
What does a markets audit examine?
Your arrangements against current requirements, your practice against those arrangements, and your evidence against both, covering conduct, reporting, surveillance, governance, and prudential processes, including MAMLA duties.
How often should audits be performed?
Annually for core compliance arrangements, with additional targeted audits after significant changes, serious incidents, or ahead of expected supervisory attention in your markets.
Can audits stay confidential and internal?
Yes. Findings belong entirely to you. Most firms share reports with their boards and use them to remediate fully before any supervisory engagement begins.
How long does an audit take?
Typically three to six weeks depending on scope and firm size, structured carefully to minimise disruption to your trading and client operations throughout.