Comprehensive regulatory compliance audits for stock brokers, trading members, depository participants, mutual funds and capital market entities. ISECURION ensures your organization meets SEBI-mandated IT governance, cybersecurity controls and operational resilience requirements.
Organizations operating under BSE and NSE are subject to stringent SEBI-mandated IT and cybersecurity audit requirements. These audits ensure that capital market systems remain secure, resilient and capable of protecting investor interests while maintaining operational continuity. ISECURION's BSE/NSE Audit Services provide comprehensive evaluation of your IT infrastructure, cybersecurity controls, governance framework and operational resilience in line with the latest exchange circulars and SEBI guidelines. Our audits validate real-world effectiveness of security controls and help organizations achieve regulatory compliance, reduce cyber risk and avoid audit observations or penalties - without disrupting business operations.
Comprehensive audits aligned with SEBI cybersecurity and IT governance guidelines ensuring full regulatory compliance for capital market participants.
Assessment of business continuity, disaster recovery capabilities and incident response mechanisms to ensure uninterrupted trading and settlement operations.
Validation of controls protecting sensitive investor and financial data including encryption, access management and data retention policies.
Equity brokers, derivative brokers, currency brokers and sub-brokers operating on BSE, NSE or other recognized exchanges.
Trading members (TM), clearing members (CM) and custodial participants involved in exchange operations and settlement.
NSDL and CDSL depository participants managing dematerialized securities and investor demat accounts.
Asset management companies, mutual fund houses and investment management entities regulated by SEBI.
Registrars & transfer agents and portfolio management services providers handling investor records and portfolios.
Registered investment advisors, research analysts and market infrastructure institutions requiring SEBI compliance.
Mandatory compliance with SEBI cybersecurity and IT governance guidelines to maintain trading and operational licenses.
Prevention of trading disruptions, data breaches, systemic failures and cyber incidents that could impact investors.
Protection of sensitive investor data, financial information and trading records through robust security controls.
Validation of incident response capabilities, monitoring mechanisms and regulatory reporting procedures.
Avoidance of regulatory penalties, trading restrictions and reputational damage from non-compliance or audit failures.
Contribution to overall capital market stability through validated cybersecurity and operational resilience controls.
Note: Scope is customized based on entity classification (broker, depository, AMC, etc.) and applicable BSE/NSE/SEBI requirements.
Identify applicable SEBI, BSE and NSE guidelines and understand systems, applications and business processes.
Review policies, procedures, governance documentation and assess design and implementation of security controls.
Configuration reviews, access checks and validation of monitoring, alerting and response mechanisms.
Identify non-compliance, control weaknesses and gaps with risk-based classification of findings.
Exchange-ready audit reports and support during remediation and regulatory clarification processes.
Post-audit support, remediation validation and preparation for subsequent audit cycles.
Exchange-ready audit report aligned with prescribed formats and regulatory requirements.
Board-ready executive summary with risk ratings and compliance posture assessment.
Control-by-control assessment results with risk ratings and evidence documentation.
Regulatory gap analysis mapping findings to specific SEBI and exchange requirements.
Actionable recommendations with prioritization, timelines and implementation guidance.
Complete audit trail with evidence artifacts and traceability documentation.
Assistance with exchange submission, clarification responses and audit closure.
Post-audit remediation assistance and validation testing for critical findings.
Deep understanding of capital market operations, trading systems and regulatory landscape with proven track record in SEBI compliance.
Complete alignment with SEBI, BSE and NSE regulatory expectations ensuring audit reports meet exchange submission standards.
Blend of compliance auditors, IT security experts and cybersecurity professionals ensuring comprehensive coverage.
Actionable, context-specific recommendations rather than generic observations enabling effective remediation.
Carefully planned audit execution to minimize impact on trading operations and daily business activities.
Focus on building sustainable cybersecurity capabilities beyond mere compliance checkbox exercises.
Strategic oversight, policy framework and risk management.
Perimeter security, segmentation and infrastructure hardening.
PAM, MFA and access governance controls.
Secure development, API security and application controls.
SIEM, monitoring, alerting and response procedures.
Encryption, DLP, backup validation and retention.
Third-party assessments and outsourcing governance.
BCP, disaster recovery and resilience testing.
Schedule a free consultation with our SEBI compliance experts and receive a customized audit roadmap.