Description

SEBI IT Compliance Internal Audit Services

By Nipto Coins LLP – Qualified & Independent Auditors

Full Service Description

SEBI-regulated entities are required to comply with multiple IT governance, cybersecurity, and cyber resilience directives issued by the Securities and Exchange Board of India to safeguard market integrity, investor data, and operational continuity.

Nipto Coins LLP provides independent SEBI IT Compliance Internal Audit Services through the Make Audit Easy platform, enabling organizations to evaluate compliance with applicable SEBI circulars and supervisory expectations.

The audit follows a risk-based, regulator-aligned approach, covering SEBI requirements related to IT governance, cybersecurity controls, system audits, incident reporting, BCP–DR, and vendor risk management.

Key Audit Coverage

• SEBI applicability & regulatory scoping

• IT governance & information security framework review

• Cybersecurity & cyber resilience controls

• Identity, access & privileged account management

• Network security, monitoring & logging

• Cyber incident response & SEBI reporting

• BCP–DR preparedness & resilience testing

• Third-party, vendor & outsourcing risk

• Compliance documentation & audit evidence review

Who This Service Is For

• Stock brokers & depository participants

• Mutual funds & asset management companies

• Portfolio managers & investment advisors

• Stock exchanges & clearing corporations

• Other SEBI-regulated intermediaries

Why Nipto Coins LLP

• Proven experience with SEBI IT audits

• Independent & objective audit execution

• Practical, risk-prioritized recommendations

• Alignment with SEBI, ISO 27001 & NIST

• Seamless engagement via Make Audit Easy

Outcome

An independent SEBI IT compliance internal audit that identifies control gaps, reduces regulatory risk, and strengthens cyber resilience.