SEBI System Audit
Mandatory IT systems and compliance auditing for Stock Brokers, Depositories, Portfolio Managers, and Mutual Funds. Align with SEBI's strict IT governance circulars.
SEBI IT & Cyber Governance
To safeguard market integrity and ensure high systems availability, the **Securities and Exchange Board of India (SEBI)** mandates regular, independent System Audits for stockbrokers, depository participants, mutual funds, and other intermediaries.
Our empanelled security auditors inspect the integrity of your algorithmic trading terminals, transaction databases, disaster recovery (DR) capabilities, logical user permissions, and outsource governance procedures to satisfy annual reporting requirements.
Why SEBI System Audits?
Ensure Uninterrupted Operations
Validate that trade execution servers, margin engines, and web applications avoid latency spikes and outages.
Protect Trading Ecosystems
Audit user credential safety, cryptographic protection on APIs, and active directory separation.
Avoid Severe Penalties
Ensure your license and depository participant standing remain free of operational holds or SEBI bans.
Compliance Sign-off Certificate
Obtain the formal SEBI checklist compliance report signed off by certified information systems auditors.
Audit Lifecycle
A structured, end-to-end framework to assess compliance against SEBI System Audit guidelines.
Scope & Plan Definition
Mapping out all critical trading applications, backend databases, API endpoints, and user roles in scope.
Security & Access Control
Rigorous review of user login policies, multi-factor authentication, administrative access logs, and network boundary controls.
Change Management & DR
Auditing software release pipelines, backup mirroring reliability, and testing disaster recovery (DR) switchover procedures.
Final Report & Certification
Compiling audit findings, documenting Non-Conformities (NCs), and signing off on the official compliance report for SEBI.
Satisfy Your Annual
SEBI System Audit Mandate
Secure your algorithmic platforms and maintain exchange connectivity. Schedule audits with our CERT-In empanelled auditing experts.