Arridae Infosec

SEBI Regulatory Cybersecurity Audits: Expert Assurance & Compliance

Navigate the complexities of the Securities and Exchange Board of India's cybersecurity mandates. We provide comprehensive, deep-dive technical audits and strategic assurance services for Stock Brokers, Depository Participants, Mutual Funds, and Portfolio Managers.

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The Foundation of Market Integrity

As the apex regulator overseeing India’s securities market, the Securities and Exchange Board of India (SEBI) defines the standards for how market participants manage technology, cyber resilience, and operational risk. Through the mandated "Cyber Security & Cyber Resilience Framework" (CSCRF), SEBI ensures that market intermediaries maintain robust defensive capabilities to protect investor data and ensure the seamless operation of capital markets.

Mandatory for Market Intermediaries
Stock BrokersDepository ParticipantsMutual FundsPortfolio ManagersKYC Registration Agencies

"SEBI compliance ensures that market entities maintain a high level of technical resilience to protect investor interests."

Why Regulation Exists

SEBI regulations are designed to safeguard the integrity of capital markets and protect investors from cyber threats. In an interconnected digital trading ecosystem, a single vulnerability in an intermediary’s infrastructure can have cascading effects on market participants, liquidity, and public trust.

How the Landscape Works

SEBI compliance is centered around the "Cyber Security & Cyber Resilience Framework" (CSCRF). Intermediaries must conduct periodic audits, maintain incident response readiness, and perform regular vulnerability assessments. Audits must be conducted by independent CERT-In empanelled auditors to validate that controls are functioning as intended and that the organization can withstand sophisticated cyber attacks.

System Audits & Cybersecurity Reviews
Vulnerability Assessment & Penetration Testing (VAPT)
Compliance with SEBI Master Circulars

CSCRF Applicability Matrix

Explore how SEBI’s Cyber Security and Cyber Resilience Framework (CSCRF) applies across different regulated entities based on operational scale, market criticality, and cyber risk exposure.

Stock Brokers

Framework: SEBI CSCRF

Cybersecurity and resilience assessments aligned with SEBI’s operational and data protection expectations for brokerage platforms.

Applicability:

Based on trading volume, client base, and operational exposure

Assessment Focus:

Access controls, SOC monitoring, vulnerability management, incident response readiness

Depository Participants (DPs)

Framework: SEBI CSCRF

Validation of cybersecurity controls protecting investor records, transaction systems, and operational workflows.

Applicability:

Entities handling depository and investor account services

Assessment Focus:

Data protection, privileged access management, audit logging, operational security

Asset Management Companies (AMCs)

Framework: SEBI CSCRF

Assessment of cyber resilience capabilities supporting investment operations and financial data security.

Applicability:

Mutual fund and investment management entities

Assessment Focus:

Governance controls, infrastructure security, third-party risk management, resilience planning

Market Infrastructure Institutions (MIIs)

Framework: SEBI CSCRF

High-criticality cybersecurity assessments designed for entities operating core market infrastructure systems.

Applicability:

Stock exchanges, clearing corporations, and depositories

Assessment Focus:

Advanced resilience controls, threat intelligence integration, SOC maturity, incident response

KYC Registration Agencies (KRAs)

Framework: SEBI CSCRF

Security and resilience validation for systems managing sensitive investor identity and onboarding data.

Applicability:

Centralized KYC processing and verification entities

Assessment Focus:

Encryption controls, audit trails, data integrity, secure storage mechanisms

Portfolio Managers & AIFs

Framework: SEBI CSCRF

Cybersecurity assessments aligned with SEBI expectations for investment operations and client data protection.

Applicability:

Portfolio management services and alternative investment entities

Assessment Focus:

Endpoint security, access governance, operational resilience, third-party controls

Our SEBI Audit Methodology

Our methodology is designed to align with SEBI’s Cyber Security & Cyber Resilience Framework (CSCRF), combining control evaluation, technical validation, and market-grade resilience assessment. We ensure that your organization satisfies the technical and governance expectations defined by SEBI—achieving audit readiness and operational stability.

01

Scope & CSCRF Mapping

Define the audit scope based on SEBI CSCRF guidelines, business operations, and intermediary type. Identify relevant control domains and audit boundaries.

02

Resilience Assessment & Gap Analysis

Evaluate cybersecurity controls, cyber resilience capabilities, and data protection measures. Identify gaps against SEBI's CSCRF expectations.

03

Technical Validation & Evidence

Conduct VAPT, configuration reviews, and technical assessments to validate control effectiveness. Ensure all findings are backed by technical evidence.

04

Risk Impact & Regulatory Reporting

Analyze identified gaps in the context of market and operational risk. Prepare detailed audit reports aligned with SEBI's compliance and reporting standards.

05

Remediation & Compliance Closure

Provide strategic guidance for closing identified gaps. Perform final validation to ensure that all SEBI cybersecurity and resilience mandates are fully satisfied.

What You Receive

Our audit deliverables are designed to provide complete visibility into your compliance posture—covering resilience gaps, regulatory alignment, and final audit validation.

CSCRF Gap Analysis

"Provides a detailed assessment of cyber resilience capabilities, control weaknesses, and infrastructure security against SEBI CSCRF guidelines. Identifies critical gaps requiring immediate remediation to ensure market integrity."

Why Choose Arridae

We go beyond regulatory checklists—delivering validated, audit-ready, and business-aligned compliance outcomes that help you satisfy SEBI CSCRF expectations and maintain market integrity.

CERT-In Empanelled Authority

Our audit reports and compliance certificates are officially recognized and accepted by SEBI, providing the necessary regulatory weight for your submissions.

CSCRF-Aligned Methodology

We align our testing directly with SEBI’s Cyber Security & Cyber Resilience Framework (CSCRF) to ensure 100% regulatory and technical coverage.

VALIDATED RESILIENCE FINDINGS

Every observation is reviewed and supported with audit-grade evidence, ensuring your resilience findings are accurate, defensible, and SEBI-compliant.

Regulatory Submission Support

We provide exhaustive reports designed to withstand the scrutiny of SEBI auditors, complete with detailed technical proof and control mapping.

REMEDIATION & COMPLIANCE ADVISORY

Beyond audit reporting, we help intermediaries prioritize remediation efforts, strengthen resilience maturity, and address compliance gaps effectively.

MARKET INTEGRITY READINESS

Our audit processes are structured to align with SEBI’s periodic reporting timelines while maintaining technical depth, accuracy, and operational stability.

“We don’t just ensure compliance—we help you build trust, and market resilience. ”

Achieve SEBI Compliance & Audit Readiness

Get a comprehensive SEBI regulatory security audit with validated findings, CSCRF-aligned reporting, and strategic remediation guidance—ensuring your organization satisfies market regulatory expectations.
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Regulatory Q&A

Commonly asked questions about SEBI mandated audits, CSCRF compliance, and technical resilience assessments.