Compliance Services for European Broker-Dealers
Broker-dealers sit where conduct risk and reporting risk meet. ABM Global Compliance supports brokerage and dealing businesses across the EU with best execution frameworks, client asset protection, transaction reporting accuracy, and market abuse controls, keeping your firm compliant at the speed your desks trade and your clients expect every time.
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Where Execution Meets Obligation every time.
Broker-dealers carry the obligations regulators test most forensically. Best execution demands monitoring and evidence, not policy statements. Client money and asset protection rules require segregation and reconciliation that survive scrutiny. MiFIR transaction reporting must be complete and accurate on every reportable trade, and regulator data analytics surface errors automatically, whether firms notice them or not.
Dealing on own account adds prudential weight through IFD classification, market abuse surveillance must cover both client flow and proprietary activity, and conflicts between the two need managing visibly. The operational reality of brokerage, high volumes, tight margins, and fast-moving products, leaves little slack for compliance functions running behind the business.
How We Support Broker-Dealers every time.
Our services target the obligations brokers carry hardest: best execution monitoring and governance, client asset protection frameworks, transaction reporting accuracy testing and remediation, market abuse surveillance calibration, conflicts management, prudential compliance, and training built for execution businesses and their regulators.
MSP/MSB Compliance
MSB licensing, AML/CFT compliance frameworks, and ongoing regulatory support for money services businesses.
Crypto & Blockchain Compliance
MiCA authorisation, Travel Rule compliance, and financial crime frameworks for cryptoasset service providers.
Banking Compliance Advisory
Regulatory reporting, governance, and financial crime compliance frameworks for banks and credit institutions.
Capital Markets Compliance
MiFID II compliance, market abuse controls, and licensing support for European investment firms.
E-Money Compliance
EMI and payment institution licensing, safeguarding arrangements, and ongoing regulatory compliance support.
Unsure Where to Start?
Book a consultation and our specialists will map the right compliance path forward.
Why Broker-Dealers Across Europe Choose ABM
Execution Focus
Best execution frameworks with monitoring and evidence regulators actually accept every time.
Reporting Accuracy
Transaction your reporting tested, corrected, and controlled before regulator analytics find errors.
Asset Protection
Client money and asset frameworks built to withstand detailed your supervisory examination.
Ready to Strengthen Your Compliance?
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.
Broker-Dealer Questions Answered
What does best execution actually require?
Taking all sufficient steps to obtain the best possible result for clients, backed by execution policies, venue monitoring, and evidence that arrangements genuinely work.
What are client asset protection rules?
Segregation of client money and assets from firm resources, robust reconciliations, clear records, and arrangements ensuring protection if the firm fails every time.
Are we liable for reporting errors?
Yes. Responsibility for complete, accurate transaction reporting stays with your firm regardless of any ARM used, which makes independent accuracy testing valuable.
How should surveillance cover proprietary trading?
Surveillance must detect potential abuse across both client and own-account activity, with conflicts between the two managed and documented visibly every time.
Can you support smaller brokerage firms?
Absolutely. We scale frameworks and monitoring to lean teams, giving smaller broker-dealers senior compliance capability without full-time internal cost at every stage.