Specialist Regulatory Compliance Advisory for Germany’s Capital Markets
At ABM Global Compliance, we provide specialist regulatory and compliance advisory services to help capital markets businesses understand their obligations, prepare for regulatory authorisation and strengthen their compliance, governance and financial crime frameworks in Germany. Germany’s capital markets provide significant opportunities, but firms need strong compliance frameworks capable of responding to both national supervision and the wider European regulatory environment.
Supporting Regulatory Readiness, Stronger Governance & Sustainable Compliance Across Germany’s.
Germany is one of Europe’s largest and most sophisticated capital markets, providing an important environment for securities, investment services and a wide range of regulated financial market activities. Businesses operating within this market face an extensive regulatory framework combining German financial regulation with European Union capital markets requirements. Our practical, risk-based approach supports sustainable growth.
The Federal Financial Supervisory Authority (BaFin) plays a central role in the supervision of Germany’s securities and financial markets within its regulatory remit. Depending on the activities undertaken, firms may need to address requirements arising under frameworks such as MiFID II and MiFIR, the Market Abuse Regulation (MAR), EMIR and other applicable German and EU rules.
Our Capital Markets Regulatory & Compliance Services in Germany
ABM helps firms develop and review frameworks addressing AML/CFT, KYC and Customer Due Diligence, sanctions and wider financial crime risk in accordance with applicable German and European requirements. Our role centres on regulatory and compliance advisory, independent assurance and training, helping capital markets firms build stronger, better-documented compliance foundations.
Capital Markets Compliance covering regulatory permissions, exposure to German, and compliance frameworks.
Regulatory Authorisation & Licensing covering regulatory representations for investment firms in Germany.
Regulatory Reporting & Governance covering internal accountability, framework design, and reporting governance.
Develop and review frameworks addressing AML/CFT, and sanctions and wider financial crime risk.
Internal Audit & Assurance Services covering gap assessments for investment firms in Germany.
Training & Capacity Building covering compliance professionals, financial crime requirements, and governance responsibilities.
Ready to Strengthen Your Compliance?
Why Choose ABM for Capital Markets Compliance in Germany
Germany-Focused Regulatory Knowledge
Germany-Focused Regulatory Knowledge for investment firms across Germany's regulated financial market.
EU Capital Markets Expertise
Our approach incorporates key European regulatory frameworks affecting regulated capital markets activities.
Cross-Sector Regulatory Perspective
Address regulatory requirements from market-entry preparation through ongoing compliance and independent assurance.
Strengthen Capital Markets Compliance in Germany
Germany’s capital markets provide significant opportunities, but firms need strong compliance frameworks capable of responding to both national supervision and the wider European regulatory environment. ABM helps capital markets businesses in Germany navigate regulatory requirements, strengthen governance and maintain sustainable compliance through specialist regulatory advisory, independent assurance and practical capacity building.
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.
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Book Your Consultation
A confidential conversation about your licensing plans, compliance challenges, or regulatory questions, with no obligation attached.
Your Questions Answered
Who supervises capital markets in Germany?
BaFin is the national competent authority for investment firms, trading venues, issuers, and market conduct in Germany, applying the Securities Trading Act (WpHG), MiFID II, MAR, and EMIR.
What rules apply to investment firms?
MiFID II and MiFIR for authorisation, conduct, and reporting, MAR for market abuse, EMIR and SFTR for derivatives, the GwG for financial crime, and applicable prudential requirements.
How long does authorisation take in Germany?
Most German authorisations run several months to a year from submission, plus preparation. Complete, well-evidenced applications with credible governance move through review meaningfully faster.
Do you support firms after authorisation?
Yes. Most of our work is ongoing: compliance monitoring, regulatory change management, policy updates, reporting support, independent reviews, and training throughout the supervisory relationship.
Are your services advisory only?
Yes, deliberately. ABM Global Compliance never operates regulated businesses or holds client funds. We build, strengthen, and review your compliance arrangements while you remain the regulated operator.