SEBI System Audit compliance simplified.
Navigate SEBI regulations with confidence. We provide thorough system adequacy audits, algo-trading logic checks, DR latency evaluations, and official CERT-In empanelled System Audit Reports (SAR).
Why SEBI Compliance Audit matters
SEBI mandates strict system audit compliance guidelines to ensure the operational resilience and cyber security of financial market participants. Non-compliance can lead to massive penalty fines, trading suspensions, or licensing cancelations.
- Mandatory annual compliance for stock brokers and mutual funds under SEBI guidelines
- Assures security of transaction execution engines and client data databases
- Avoids severe operational suspensions, penalty fines, or license cancelations
- Provides official CERT-In System Audit Report (SAR) for hassle-free portal upload
Core Principles
What you receive
Comprehensive compliance framework
We deliver complete capacity testing, automated logic reviews, HSM checks, infrastructure VAPT, and the fully signed SAR report package required by SEBI.
System Adequacy & Capacity Report
Thorough documentation mapping computing limits, network loads, latency responses, and resource capacity planning.
- Peak Load & Memory Stress Review Logs
- Network Redundancy & Latency Audits
- Computing Power Scaling Policies
CERT-In VAPT & Hardening
Official vulnerability assessment and network penetration testing reports verified by a CERT-In empanelled auditor.
- External Perimeter VAPT Reports
- Core Trading Database Hardening Checks
- Empanelled Auditor Attestation & Signoff
Algo-Trading & Logic Checks
Technical evaluation of automated trading scripts, algorithmic execution logic, circuit breakers, and database validation checks.
- Algorithmic Logic Verification Audit
- Trade Order Flow Security Reviews
- Fail-Safe & Circuit Breaker Verifications
SEBI Compliance Dossier
The complete compiled submission folder formatted to meet the specific requirements of SEBI template-based reports.
- SEBI Format Compliance Matrix & Proofs
- Executive Summary for Board & Stakeholders
- Signed System Audit Report (SAR) Package
Audit Process
How SEBI System Audit works
Our approach delivers structured assessments to verify logic rules, system thresholds, and backup latency, ensuring perfect compliance setup.
Step 1
Define SEBI audit scope and catalog broker/participant systems
Step 2
Analyze algorithmic logic rules and trade booking workflows
Step 3
Perform technical VAPT across trading and database servers
Step 4
Verify Disaster Recovery (DR) site sync and latency response times
Step 5
Prepare draft findings and system logic remediation checklist
Step 6
Compile final certified SAR (System Audit Report) for board sign-off and SEBI submission
Get Started
Ready for SEBI System Audit compliance?
Contact our CERT-In auditor experts today to schedule your System Audit and ensure your trade processing networks are fully hardened.