Get Your SEBI Compliance Audit Quote
SEBI audits are a calendar, not a surprise
Brokers, depository participants, RTAs, investment advisers, research analysts and portfolio managers all carry SEBI-mandated audit obligations - internal audits, system audits, cyber audits - each on its own periodicity with its own reporting format. The compliance audit runs that calendar properly: scoped to the applicable regulations and circulars, evidenced, and filed the way the exchanges and SEBI expect.
You need SEBI Compliance Audit if…
- !Your intermediary category - broker, DP, RTA, adviser, portfolio manager - carries a mandated internal or system audit and the period is closing.
- !The exchange or depository has sought the audit report, and the last one was a scramble of screenshots and goodwill.
- !SEBI’s cyber security and cyber resilience framework applies to you, and the mandated audit and reporting are due.
- !An inspection, observation letter or advisory from SEBI or the exchange has raised findings that must be closed with evidence.
- !New circulars have moved the compliance goalposts and nobody has mapped the delta to your controls.
- !A new registration, category upgrade or activity extension needs the compliance framework built before business begins.
Audit of a SEBI-registered intermediary’s compliance with the regulations and circulars applicable to its category - internal audit, system audit and cyber-framework audit as mandated - with reports in the prescribed formats.
SIS auditors issue the audit reports for filing with the exchange, depository or SEBI as applicable. Registration and enforcement remain with SEBI - the audit keeps you clean before both.
Per the mandated periodicity of your category - typically half-yearly or annual per audit type.
Stock brokers, depository participants, RTAs, investment advisers, research analysts, portfolio managers, merchant bankers and other SEBI-registered intermediaries.
Where this certification is demanded
SEBI Compliance Audit is applicable across 1 of the 25 industries SIS covers. The pages below set out the specific reason it comes up in each one.
What SEBI Compliance Audit Actually Requires
The backbone an implementer has to build, in the order it usually gets built.
Which regulations, circulars and audit types bind your category and activity mix - the register everything else audits against.
KYC, client funds and securities segregation, dealings and disclosures - the areas where SEBI observations concentrate.
Order handling, settlement, record-keeping and reporting systems audited against exchange and SEBI system-audit frameworks.
The controls, drills and reporting SEBI’s cyber security framework mandates for your category.
The compliance officer’s reporting line, monitoring calendar, and the evidence trail of issues raised and closed.
Audit reports, exception statements and corrective-action closures filed in format and on time - every period.
How SEBI Compliance Audit Process Works
No black box. A defined, time-bound route from first call to filed audit report.
Applicability & Scoping
Category, activities and the audit types mandated - internal, system, cyber - mapped to the current regulation and circular set.
2–3 daysAudit Fieldwork
Sampled testing of client-protection controls, operations, systems and cyber measures against the applicable frameworks.
1–2 weeksFindings & Report
Observations graded, management responses captured, and reports prepared in the prescribed filing formats.
within a weekFiling Support & Close-out
Reports filed on the mandated timeline; corrective actions tracked to closure before the next cycle or inspection.
per calendarIndustries That Need SEBI Compliance Audit
Commonly taken alongside
Not Sure Which Certification You Need?
Three questions. The selector reads the same industry-to-standard mapping this whole site is built on, then shortlists what applies to you.
Which sector best describes your organisation?
Repeat observations are how small findings become enforcement
The first observation costs a response letter. The repeat costs escalation. The audit calendar, run properly, is the cheapest regulatory insurance an intermediary can buy.
Get My Free Quote →What SEBI Compliance Audit Changes for Your Business
Certification is not a certificate on the wall. It is a working system that pays for itself.
The audit calendar, run properly
Internal, system and cyber audits scoped, scheduled and filed per your category’s periodicity - no more period-end scrambles.
Inspection-ready evidence
When SEBI or the exchange inspects, the registers, reports and closures are already in the shape inspectors ask for.
Observations closed, not carried
Findings graded and driven to evidence-backed closure - the repeat observation is what escalates penalties.
Cyber framework covered
SEBI’s cyber security and resilience requirements audited and reported alongside the rest - one calendar, not three vendors.
Cleaner exchange relationships
On-time, well-formed filings keep the exchange and depository conversations routine instead of remedial.
Compliance that scales with the licence
New activities and category changes get mapped into the framework before they trade, not after the first observation.
Knowledge Base - Downloads
Practical documents prepared by our auditors. Fill the short form once and every download on the page unlocks.
SEBI applicability register template
Map your category and activities to the regulations, circulars and audit types that bind them - the document every audit starts from.
Intermediary internal audit checklist
Client onboarding to settlement: the control points exchange-format internal audits sample, category by category.
Compliance audit calendar
A period-wise calendar of audits, filings and board reportings by intermediary category - built to survive staff churn.
Handling SEBI & exchange observations
Grading, responding to and closing observations with evidence - and stopping the repeat findings that escalate.
Frequently Asked Questions
Straight answers to what buyers ask before they commit to SEBI Compliance Audit.
Which intermediaries need these audits?
How often are the audits due?
Is this a statutory financial audit?
Can you close an inspection observation letter?
We span multiple categories - multiple audits?
Does ISO/IEC 27001 satisfy the SEBI cyber framework?
Put your SEBI audit calendar on rails
Tell us your registration category and activities - the applicability map, audit calendar and fee follow within two business hours.
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