Independent Compliance Audit & Regulatory Assurance in Italy
At ABM Global Compliance, we deliver independent compliance-focused audit and assurance services to help Boards and senior management determine weaknesses, evaluate regulatory readiness and enhance their control environments. Firms may also be subject to Italian and EU requirements concerning AML/CFT, governance, internal controls and regulatory compliance, depending on their activities and regulatory status.
Providing Independent Insight into AML, Governance, Risk & Compliance Effectiveness
Capital markets firms operating in Italy need robust mechanisms for independently assessing whether their compliance, governance and risk arrangements remain appropriately designed and aligned with applicable compliance requirements. At ABM Global Compliance, we deliver independent compliance-focused audit and assurance services to help Boards and senior management determine weaknesses, evaluate regulatory readiness and enhance their control environments.
Within Italy’s regulatory environment, CONSOB plays a key supervisory role across relevant capital markets activities. Firms may also be subject to Italian and EU requirements concerning AML/CFT, governance, internal controls and regulatory compliance, depending on their activities and regulatory status. Our services focus on regulatory compliance assurance, giving management independent, practical insight to help strengthen the functions being reviewed.
Our Capital Markets Regulatory & Compliance Advisory Services
An independent AML audit can provide valuable insight into whether a firm’s financial crime compliance arrangement remains appropriately designed and aligned with applicable Italian requirements, including relevant obligations under the Italian AML Decree (Legislative Decree 231/2007).
AML Compliance Audit
Our findings provide management with an independent compliance perspective and workable recommendations for improvement.
Governance & Risk Management Audit
Risk ownership, remediation and management decisions remain entirely with the regulated firm.
Independent Internal AML Audit
Independent Internal AML Audit covering considering the firm’s activities and risk profile.
Compliance Effectiveness Reviews
Capital markets compliance arrangements should evolve alongside regulatory developments, business changes and emerging risks.
Ready to Strengthen Your Compliance?
Why Choose ABM in Italy
Independent Regulatory Perspective
Boards and management with objective insight into the strength of existing compliance arrangements.
Italy-Focused Compliance Knowledge
Italy-Focused Compliance Knowledge for investment firms across Italy's regulated financial market.
Risk-Based Assurance Approach
Risk-Based Assurance Approach for investment firms across Italy's regulated financial market.
Strengthen Confidence in Your Compliance Framework
Independent assurance can help capital markets businesses determine weaknesses before they establish into more considerable regulatory concerns. ABM helps capital markets firms in Italy reinforce confidence in their AML, governance, risk and compliance arrangements through focused, independent and workable regulatory assurance.
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.
Your Questions Answered
Why do firms need independent reviews?
Because frameworks drift. Independent assessment finds the gaps daily operations normalise, gives boards genuine assurance, and fixes issues before supervisors find them expensively.
How often should audits be conducted?
Risk-based, but a sensible rhythm is an annual review of core compliance and AML arrangements, with deeper reviews after significant change, growth, or findings.
What does an AML audit cover?
Risk assessment quality, policies against practice, due diligence files, monitoring calibration, reporting arrangements, training, and governance oversight, tested through sampling rather than document review alone.
Are your reviews truly independent?
Yes. Assurance work is delivered separately from any framework we helped build, with findings reported candidly to management and boards regardless of comfort.
What happens after the review?
You receive prioritised, practical findings with clear remediation guidance, and we can support the remediation itself, tracked to closure so improvement actually happens.