SEBI Cyber Security Framework & System Audit Solutions
Statutory cyber security audits and CSCRF compliance for Stock Brokers, Depository Participants (CDSL / NSDL), Mutual Funds, AMCs, Qualified RTAs, and Alternative Investment Funds (AIFs). Fully compliant with SEBI Master Circulars, exchange mandates (NSE, BSE, MCX), and CERT-In requirements.
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6 Core Pillars of SEBI Cyber Security Auditing
Our certified capital market security auditors evaluate trading terminals, order matching engines, and data operations against mandatory SEBI regulatory guidelines.
Cyber SOC & 6-Hour Reporting
Auditing 24/7 Cyber Security Operations Center (C-SOC) capabilities, SIEM log correlation, Threat Intel ingestion, and mandatory 6-hour incident escalation to SEBI/CERT-In.
- 24/7 C-SOC telemetry & SIEM audit
- Mandatory 6-hour SEBI incident reporting
- Threat intelligence & dark web monitoring
OMS, RMS & Algo Trading Isolation
Verifying network microsegmentation between Order Management Systems (OMS), Risk Management Systems (RMS), and Direct Market Access (DMA) algorithmic trading servers.
- DMA / Co-location network isolation
- Algo trading parameter authorization
- Market data feed spoofing prevention
Investor 2FA & Privileged Access
Auditing time-based TOTP/biometric 2FA across mobile trading apps and web terminals, plus Privileged Access Management (PAM) for all IT administrators.
- Mandatory 2FA for investor logins
- PAM enforcement for database admins
- Session timeout & brute-force lockdown
Cloud Governance & Vendor Risk
Auditing third-party technology vendor contracts, right-to-audit SLAs, market data feed providers, and multi-cloud security configuration (AWS, Azure, GCP).
- Vendor right-to-audit SLA review
- Cloud security posture management (CSPM)
- Third-party market data API security
BCP / DR Drills & RTO/RPO Audits
Evaluating Business Continuity Planning (BCP), semi-annual live Disaster Recovery (DR) switchover drills, Recovery Time Objective (RTO), and immutable backup retention.
- Live DR switchover drill verification
- RTO (<4 hrs) & RPO (<15 mins) compliance
- WORM / Air-gapped immutable backups
Action Taken Report (ATR) & Filing
Delivering the comprehensive SEBI System Audit Report, vulnerability gap closure matrix, Action Taken Report (ATR), and CERT-In Safe-to-Host Attestation.
- Official SEBI System Audit Report (SAR)
- Action Taken Report (ATR) for exchanges
- CERT-In Safe-to-Host Security Certificate
5-Stage SEBI Cyber Security Audit Roadmap
Our certified information systems auditors guide your financial institution through scoping, technical VAPT, governance reviews, and statutory exchange filing.
Architecture & Trading Rail Intake
Determining intermediary tier (Stock Broker, Depository Participant, AMC, QRTA, AIF), mapping OMS/RMS systems, web/mobile trading portals, and cloud infrastructure.
Web, Mobile Apps & Network Penetration
Executing ethical hacking on trading portals, mobile apps (Android/iOS), FIX protocol gateways, firewalls, and Active Directory domains.
Policy Review & SOC Telemetry Assessment
Auditing C-SOC alert ingestion, SIEM correlation rules, incident response plans, BCP/DR test records, and cloud IAM configurations.
Technical Closure & Action Taken Report
Collaborating with internal IT teams to patch identified vulnerabilities, update governance policies, and prepare the mandatory Action Taken Report (ATR).
Final Attestation & Board Sign-Off
Delivering the complete SEBI System Audit Report package, Board IT Committee executive briefing, and CERT-In Safe-to-Host Certificate.
Frequently Asked Questions
Key details on SEBI audit applicability, CSCRF compliance, and filing deadlines.