Regulatory Policy & Compliance Documentation Advisory
At ABM Global Compliance, we help firms develop, review and update compliance policies and procedures from a regulatory perspective. Our practical, risk-based approach supports sustainable growth. This supports long-term regulatory confidence across the organisation. We help businesses navigate these requirements with confidence.
Keeping Payment & E-Money Compliance Frameworks Current and Regulatory-Aligned
Policies and procedures provide the documented foundation for translating regulatory requirements into internal responsibilities and controls. For German EMIs and Payment Institutions, these frameworks should remain appropriate to the institution’s activities, regulatory obligations and risk profile. ABM helps German EMIs and Payment Institutions maintain clear, structured and regulatory-aligned policies that support stronger governance and sustainable compliance.
Implementation, operation and approval of these frameworks remain with the regulated institution. At ABM Global Compliance, we help firms develop, review and update compliance policies and procedures from a regulatory perspective. Our practical, risk-based approach supports sustainable growth. This supports long-term regulatory confidence across the organisation. We help businesses navigate these requirements with confidence.
Our E-Money & Payment Services Compliance Services
We focus on creating clear documentation of regulatory responsibilities, governance arrangements and compliance expectations while avoiding generic frameworks disconnected from the firm’s actual business model. At ABM Global Compliance, we help firms develop, review and update compliance policies and procedures from a regulatory perspective.
Regulatory Policy Development
Regulatory Policy Development covering applicable German for payment and e-money institutions in Germany.
AML/CFT Policies & Procedures
Develop and review risk-based AML/CFT policies and procedures reflecting applicable financial crime compliance requirements.
Safeguarding Policy Development
Develop and review policies documenting safeguarding responsibilities, governance, oversight and relevant compliance controls.
Governance & Internal Control Documentation
Governance & Internal Control Documentation covering internal control responsibilities and management oversight.
Ready to Strengthen Your Compliance?
Why Choose ABM in Germany
Regulatory-Aligned Policies Approach
Regulatory-Aligned Policies Approach for payment and e-money institutions across Germany's regulated financial market.
Risk-Based Approach and Delivery
Risk-Based Approach and Delivery tailored to payment and e-money institutions operating in Germany.
Safeguarding Compliance Perspective
We advise on safeguarding governance without managing client funds or arrangements.
Supporting Your Business Across Germany
ABM helps German EMIs and Payment Institutions maintain clear, structured and regulatory-aligned policies that support stronger governance and sustainable compliance. Implementation, operation and approval of these frameworks remain with the regulated institution. Our practical, risk-based approach supports sustainable growth. This supports long-term regulatory confidence across the organisation.
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
How often should policies be updated?
At least annually, and immediately after regulatory change, new products, restructuring, or supervisory findings. BaFin expects documentation to reflect current operational reality.
What policies do regulated firms need?
Governance and accountability, AML/CFT, risk management, compliance monitoring, outsourcing, conflicts, and sector-specific areas such as safeguarding. The exact set depends on your licence.
Are template policies good enough?
Rarely. Supervisors read policies against your actual business, and generic templates describing activities you do not perform create findings rather than prevent them.
Who should own policies internally?
Each policy needs a named senior owner responsible for accuracy, implementation, and review, with board approval for the core framework. Ownership turns documents into governance.
Can you review our existing documentation?
Yes. We assess existing policies against current German and European requirements and your real operations, then update what genuinely needs updating.