Securities and Exchange Board of India

SEBI (Securities and Exchange Board of India) regulates the securities market of India and is owned by the Government of India. As per SEBI’s guidelines the following are necessary compliances for brokers on cyber security audit:

  • Stockbrokers / Brokers need to make sure that all the Electronic Communication (ECN) which is sent via emails should be signed digitally, it should be encrypted, it shouldn’t be tamper-able, and it should be in compliance with the IT Act, 2000.
  • The books of accounting and all relevant records should be maintained as per the guidelines of Securities Exchange Board of India Act, 1992.
  • The audit is necessary to ensure that the internal controls, processes, and procedures have been implemented adequately and are also being followed correctly to ensure compliance with the requirements of Securities Exchange Board of India Act, 1992.
  • The securities law provisions, guidelines, directives, and additional circulars issued by Securities Exchange Board of India Act, 1992 should be complied with.
  • The provisions, directives and circulars by stock exchanges should be complied with.
  • The investor of the securities market should be as per SEBI guidelines

Since we’re CERT-In empaneled auditors, our team has the relevant experience and expertise to help you. We can conduct audits of your IT Infrastructure including security audits, application controls, information system audits of your entire IT network and infrastructure.