SEBI Cyber Security Compliance Audit

What is SEBI Cyber Security Compliance Audit?

In today’s evolving financial landscape, ensuring the integrity and confidentiality of sensitive information is of paramount importance. Acknowledging this critical need, the Securities and Exchange Board of India (SEBI) has instituted a comprehensive Cyber Security and Cyber Resilience Framework. This framework is aimed at empowering market participants with the necessary measures to effectively combat cyber threats, ensure business continuity, and uphold investor trust and market stability.

Who Needs a SEBI Cyber Security Audit ?

SEBI Cyber Security Compliance Audit Guidelines – Key Focus Areas

The audit is based on SEBI’s circulars like:

• SEBI Cybersecurity and Cyber Resilience Framework (2023)
• Guidelines for Market Infrastructure Institutions
• Advisory for intermediaries on incident reporting and business continuity

Audit focuses on:

• Asset Management & Network Security
• Risk Assessment & Threat Modeling
• Cyber Incident Response & Recovery
• Secure Application Development
• Data Protection & User Access Controls
• Third-Party & Vendor Risk Management

SEBI Audit Process- Step-by-Step SEBI

Step 1: Compliance Gap Assessment

We review your cybersecurity posture and map it against SEBI’s cyber resilience framework.
Includes:

• IT policy review.
• Current infra & system assessment.
• Identification of non-compliance areas.

Step 2: VAPT & Infrastructure Review

We perform vulnerability and penetration testing on your network, endpoints, web applications, and APIs to detect flaws.
Includes:

• VAPT for external/internal systems
• Application security checks
• Cloud and firewall review
• Patch management effectiveness

Step 3: Policy, SOP & Documentation Review

We review your organizational policies to ensure they meet SEBI’s expectations.
Includes:

• Information & Cybersecurity policy
• Change management SOPs
• Incident management & DR policy

Step 4: Risk Analysis & Recommendations

We analyze risks found during the audit and prioritize them based on severity and regulatory urgency.
Includes:

• Remediation roadmap
• Practical advice for quick fixes
• Risk scoring (High/Medium/Low)

Step 5: Reporting & Evidence Compilation

We create a SEBI-compliant audit report, including all findings, technical evidence, risk posture, and recommendations.
Includes:

• Risk matrix
• Detailed audit report
• Compliance checklist
• Supportive screenshots & logs

Step 6: Final Advisory & Submission Support

We help you address findings, test remediations, and prepare for submission to SEBI or your sponsor institution.
Includes:

• Retesting support
• Final certificate (if required)
• SEBI-ready documentation package
• Audit closure assistance

Why Choose Certcube Labs for SEBI Cyber Security Compliance Audits?

Being a CERT-IN empanelled security partner, Certcube Labs offers:

• SEBI audit experience across financial intermediaries.
• VAPT + compliance + documentation in one go.
• Minimal downtime and real-world remediation plans.
• SEBI-compliant reporting and submission-ready documentation.