Stay SEBI-Ready. Stay Operationally Secure.
Comprehensive system audit services for SEBI-regulated entities covering assessments, glitch management and CSCRF compliance.
.svg){kind=icon}
Overview
System audits are no longer optional for regulated entities
SEBI's CSCRF (August 2024) mandates periodic system audits for all regulated entities covering 100% of critical systems. Non-compliance triggers exchange penalties, disciplinary action and reputational risk. SecMark delivers CERT-In aligned audits, from scoping through to findings, risk rating and remediation - by professionals with direct SEBI, NSE and BSE audit experience.
A complete system audit practice for Indian Capital Markets
Four structured service capabilities-each aligned to the specific audit and compliance requirements of SEBI-regulated entities.
.svg)
System Audit & Technical Glitch Management
Structured system audits that evaluate IT performance, operational controls and security posture across critical and non-critical infrastructure. Efficient technical glitch identification and remediation management ensures your systems remain operationally stable and SEBI-inspection-ready at all times.
.svg)
System Audits that drive performance and security.
Efficient technical glitch identification and resolution.
SEBI-ready audit documentation and reporting.
VAPT & Cyber Security Audit
Vulnerability Assessment and Penetration Testing (VAPT) conducted in line with SEBI CSCRF mandates and CERT-In guidelines-proactively identifying and eliminating vulnerabilities across your IT infrastructure before they become regulatory or operational liabilities.
SEBI-mandated Cyber Audits for enhanced security.
VAPT after every major system release or upgrade.
Strengthened cyber defences with documented findings.
Pre-Approvals and Governance
End-to-end support for exchange pre-approval requirements-including Algorithmic Trading (Alog), CTCL, IBT and STWT-navigating the compliance process with precision and ensuring fast-tracked approvals without procedural delays.
Alog, CTCL, IBT and STWT pre-approval management.
Exchange pre-approval requirement navigation.
Fast-tracked compliance with pre-approval support.
SOC as a Service
Security Operations Centre (SOC) capabilities delivered as a managed service-providing continuous threat monitoring, incident detection and CSRF framework implementation for regulated entities that require enterprise-grade security operations without in-house infrastructure.
Continuous security monitoring and incident detection.
CSRF framework design and implementation.
Half-yearly SOC efficacy reporting for MIIs and Qualified REs.
A structured audit methodology-from scoping to submission
Scoping & Classification
Critical and non-critical systems are identified and classified in line with SEBI CSCRF categorisation criteria. Audit scope is defined with full regulatory rationale documented for exchange submission.
Assessment & Testing
Detailed technical assessment across all in-scope systems, including VAPT, configuration review, access control evaluation and incident response capability testing. Conducted by CERT-In empanelled auditors.
Findings, Risk Rating & RCA
All observations are documented with risk ratings, root cause analysis and recommended corrective actions structured in the SEBI-prescribed compliance reporting format.
Report Submission & Follow-Through
Final audit report prepared and submitted within the mandated one-month timeline. Post-submission remediation support available to address findings before the next audit cycle.
Why SecMark
Simple to set up. Intelligent by design. Highly secured.
SEBI-Specialist Practice
Our audit team has direct, hands-on experience with SEBI, NSE and BSE inspection requirements,- delivering audit outcomes that are regulatory submission-ready, not just technically complete.
CERT-In Empanelled Professionals
All system audits are conducted by CERT-In empanelled auditors with CISA, CISM, GSNA and CISSP certifications, ensuring compliance with SEBI CSCRF auditor norms.
Timeline-Guaranteed Delivery
Audit reports are delivered and submitted within the regulatory-mandated one-month timeline-ensuring your entity remains compliant with SEBI half-yearly and annual submission schedules without exception.
For more information you can reach out to us by filling the contact us form / Call: 9869265949
