Financial Crime Compliance for Capital Markets Firms
Capital markets crime risk runs in two directions at once. ABM Global Compliance builds AML frameworks and market abuse surveillance for investment firms in the Netherlands, protecting your firm from money laundering and market manipulation exposure alike.
AML and Market Abuse Handled Together
Investment firms face financial crime obligations on two fronts. AML rules demand customer due diligence, monitoring, and reporting calibrated to markets business, where corporate structures, omnibus accounts, and cross-border flows complicate everything. The Market Abuse Regulation adds surveillance duties: detecting insider dealing and manipulation, submitting STORs, and maintaining insider lists, with regulators expecting genuine detection capability.
We build defences for both fronts as one framework. Our specialists design due diligence matched to markets client types, calibrate transaction and order surveillance so it detects genuine abuse patterns, strengthen sanctions screening, and connect alerts to investigation and reporting processes that work at trading volume. Everything documented and evidenced to satisfy supervisory examination.
What Our Financial Crime Support Covers
Markets financial crime compliance spans AML and market abuse together, so our support deliberately covers both fronts and the framework connecting them. Each component is calibrated to your instruments, client base, and trading patterns, then fully documented for supervisory examination.
KYC & CDD
Customer due diligence frameworks matched carefully to markets clients, corporate structures, and intermediaries.
Market Abuse Surveillance
Order and trade surveillance carefully calibrated to detect market manipulation and insider dealing.
STOR Processes
Clear detection, investigation, and suspicious transaction and order reporting procedures that genuinely work.
Sanctions Screening
Client, instrument, and counterparty screening covering EU and wider international sanctions regimes comprehensively.
Insider List Management
Compliant insider list procedures and supporting controls that satisfy MAR requirements properly throughout.
Risk Assessments
Business-wide financial crime risk assessments that genuinely drive your daily control calibration decisions.
Ready to Strengthen Your Compliance?
Why Markets Firms Build Defences With ABM
Markets-Native Expertise
Specialists who understand order flow, instruments, and genuine markets crime typologies deeply.
Calibrated Surveillance
Systems tuned to real abuse patterns, cutting noise without ever missing threats.
Inspection Ready
Frameworks documented and evidenced properly to withstand supervisory and FIU examination confidently.
Who We Protect Across Netherlands
We build financial crime frameworks for brokers, portfolio managers, trading firms, and venue operators in the Netherlands. Whether strengthening controls proactively or remediating after findings, our specialists match frameworks to genuine risk.
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.
Markets Financial Crime Questions Answered
What financial crime rules cover investment firms?
EU AML directives and national laws govern money laundering controls, while the Market Abuse Regulation adds surveillance, STOR, and insider list obligations for markets activity.
What surveillance does MAR actually require?
Arrangements to detect and report suspicious orders and transactions, covering manipulation and insider dealing patterns across the instruments and venues where you operate, including Wwft duties.
What makes a good STOR process?
Calibrated detection, documented investigation with clear reasoning, timely submission, and records demonstrating your arrangements work, because regulators test both submissions and non-submissions.
Can you tune our surveillance systems?
Yes. We review your scenarios, parameters, and alert outcomes, then recalibrate the surveillance so it detects genuine abuse without overwhelming your compliance team.
Do you help after inspection findings?
Absolutely. We translate inspection findings into prioritised remediation plans, rebuild the weak controls properly, and evidence improvements so supervisors see credible, completed change.