Ongoing Compliance Support for Investment Firms in Germany
Authorisation is where your obligations begin, not end. ABM Global Compliance provides ongoing compliance support for investment firms in Germany, keeping your MiFID II arrangements current, your obligations met, and your supervisory relationships healthy.
Markets Compliance That Keeps Pace
Investment firms face continuous obligations that compound quietly: compliance monitoring programmes, best execution reviews, product governance cycles, suitability testing, transaction reporting quality, MAR surveillance, and a steady stream of ESMA guidelines and MiFIR review changes. Compliance functions sized for calmer years fall behind, and small gaps accumulate until a thematic review or inspection exposes them together.
Our ongoing support closes that gap permanently. We act as an extension of your compliance function, running monitoring reviews, tracking regulatory change across your markets, maintaining your compliance calendar, and providing senior answers when questions arise from desks or supervisors. You get genuine markets compliance capability scaled to your firm, without carrying the full internal cost.
What Our Ongoing Support Includes
Ongoing markets compliance combines scheduled discipline with on-demand expertise, so our support packages deliberately cover both. Every element is scaled to your permissions, business model, and risk profile, keeping your firm ahead of its obligations rather than reacting to them.
Compliance Monitoring
Structured monitoring programmes testing conduct, reporting, and control effectiveness right across your firm.
Regulatory Change Tracking
Monitoring ESMA guidelines, MiFIR review developments, and national changes across all your markets.
Compliance Calendars
Structured obligation calendars ensuring your reviews, reports, and renewals are never missed again.
Advisory On Demand
Direct access to senior markets compliance specialists whenever regulatory questions arise in practice.
Review Support
Preparation, document review, and hands-on expert support through thematic reviews and supervisory inspections.
Remediation Planning
Practical, clearly prioritised remediation plans whenever reviews identify gaps in your compliance arrangements.
Ready to Strengthen Your Compliance?
Why Investment Firms Keep ABM Close
Markets Specialists
Consultants working in MiFID II, MAR, and IFD obligations every single day.
Proactive Approach
Regulatory changes surfaced early and translated into actions before they become findings.
Scaled Support
Support sized to your firm today, with room to grow as obligations expand.
Who Relies on Our Support
Brokers, portfolio managers, advisers, trading firms, and venue operators in Germany rely on our ongoing support. Whether you run a lean compliance team or a full function, we add senior judgement and keep obligations on track.
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.
Ongoing Support Questions Answered
What does ongoing markets support include?
Compliance monitoring programmes, regulatory change tracking, obligation calendars, on-demand advisory, review and inspection support, and remediation planning, combined into packages scaled to your permissions.
Do we still need internal compliance staff?
Yes. MiFID II requires an effective internal compliance function. We strengthen and support that function with senior capability rather than replacing accountability regulators expect internally, including GwG duties.
How often should monitoring reviews run?
A risk-based annual programme is standard, with higher-risk areas like best execution, suitability, and transaction reporting typically reviewed more frequently than annually.
Can you support us during thematic reviews?
Absolutely. We prepare your team and documents beforehand, support you through the review itself, and help you respond credibly to any findings afterwards.
How is the support priced?
Most firms choose a fixed monthly retainer covering agreed activities, with clear rates for additional projects, keeping compliance costs predictable as you grow.