Compliance Services for European Securities Firms
Securities firms live close to the market’s most sensitive information, and regulators watch accordingly. ABM Global Compliance supports securities businesses across the EU with authorisation, conduct frameworks, market abuse controls, insider information handling, and transaction reporting, protecting your firm and its reputation through underwriting, placing, advisory, and trading activity alike.
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Sensitive Information, Serious Obligations every time.
Securities firms handle inside information as routine business: underwriting mandates, placings, advisory engagements, and research all create MAR obligations around insider lists, wall-crossing procedures, and disclosure timing. Market soundings carry their own procedural regime, and regulators examine whether information barriers genuinely work or exist mainly in policy documents every time.
Alongside that sits the standard obligation stack: MiFID II authorisation and conduct rules, conflicts management across corporate and markets activity, transaction reporting, prudential requirements under the IFD, and financial crime frameworks calibrated to securities business. When issues arise in this sector, they arrive publicly and with enforcement appetite, making prevention worth genuinely serious investment.
How We Support Securities Firms
Our services address securities-specific risk: MAR frameworks covering insider lists, market soundings, and information barriers, conflicts management across business lines, authorisation and permission scoping, transaction reporting, surveillance calibration, financial crime compliance, and training built around how securities businesses actually handle sensitive information.
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 Securities Firms Across Europe Choose ABM
MAR Depth
Insider information procedures and market sounding regimes handled with genuine precision every time.
Conflicts Clarity
Information barriers and conflicts your frameworks that work operationally, not just theoretically.
Sector Insight
Consultants who understand underwriting, placing, and advisory business from experience every time.
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.
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A confidential conversation about your licensing plans, compliance challenges, or regulatory questions, with no obligation attached.
Securities Firm Questions Answered
What are insider list requirements?
Maintaining accurate, complete lists of everyone with access to inside information per project, in prescribed formats, ready for regulator request at any time.
How do market sounding rules work?
MAR sets procedures for gauging investor interest before transactions, covering consent, recording, cleansing, and documentation that both sides must follow properly every time.
What makes information barriers effective?
Physical and systems separation, access controls, wall-crossing procedures, monitoring, and evidence they operate in practice, not just in written policies every time.
Do securities firms need surveillance systems?
Yes. Arrangements must detect potential abuse across your activity, calibrated to instruments and flows, with suspicious transaction and order reporting processes every time.
Can you review our conflicts framework?
Absolutely. We assess conflicts identification, management, and disclosure across your business lines, then strengthen arrangements before regulators or clients test them every time.