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Professional Service

SEBI Compliance Internal Audit Services

SEBI Compliance Internal Audit involves comprehensive evaluation of all functional verticals of Market Infrastructure Institutions including critical operations, regulatory compliance, risk management, and business development functions to ensure alignment with SEBI's latest framework and guidelines.

Market Infrastructure Institutions audit
Critical Operations assessment
Trading and settlement review
Regulatory & Compliance evaluation
4-12 weeks
Timeline
As per Circular
Scope
11+
Deliverables
99.99%
Success Rate

Why Choose This Service?

Comprehensive benefits designed to strengthen your security posture and protect your business

Key Benefits

Meet SEBI regulatory mandates

Ensure operational efficiency

Maintain financial stability

Achieve regulatory compliance

Safeguard stakeholder interests

Reinforce market integrity

Build investor confidence

Precision

Targeted approach to your specific security needs

Efficiency

Fast implementation with minimal business disruption

Protection

Comprehensive security coverage and monitoring

Excellence

Industry-leading expertise and proven results

What You'll Receive

Comprehensive MII audit report
Critical operations assessment report
Regulatory compliance evaluation report
Risk management review report
Investor grievance assessment report
Business development audit report
Policy framework documentation
Audit committee presentation
Standardized terms of reference
Remediation plan with timelines
Follow-up and closure tracking

Complete Feature Set

Everything you need for comprehensive sebi compliance internal audit services coverage

Market Infrastructure Institutions audit
Critical Operations assessment
Trading and settlement review
Regulatory & Compliance evaluation
Risk management assessment
Investor grievance redressal review
Business Development audit
Ancillary Functions evaluation
Independent audit execution
Policy-driven audit framework
All features included in every plan

Our Proven Process

A systematic approach to delivering sebi compliance internal audit services with measurable results

1

Step 1: MII functional verticals assessment

MII functional verticals assessment

Expert execution
Quality assurance
2

Step 2: Critical operations review (trading, settlement)

Critical operations review (trading, settlement)

Expert execution
Quality assurance
Progress tracking
Client communication
3

Step 3: Regulatory and compliance evaluation

Regulatory and compliance evaluation

Expert execution
Quality assurance
4

Step 4: Risk management framework assessment

Risk management framework assessment

Expert execution
Quality assurance
Progress tracking
Client communication
5

Step 5: Investor grievance mechanism review

Investor grievance mechanism review

Expert execution
Quality assurance
6

Step 6: Business development functions audit

Business development functions audit

Expert execution
Quality assurance
Progress tracking
Client communication
7

Step 7: Ancillary functions evaluation

Ancillary functions evaluation

Expert execution
Quality assurance
8

Step 8: Independent audit execution

Independent audit execution

Expert execution
Quality assurance
Progress tracking
Client communication
9

Step 9: Policy framework development

Policy framework development

Expert execution
Quality assurance
10

Step 10: Audit committee reporting

Audit committee reporting

Expert execution
Quality assurance
Progress tracking
Client communication
11

Step 11: Standardized methodology implementation

Standardized methodology implementation

Expert execution
Quality assurance
Total Timeline
6-10 weeks from start to completion

What We Test

Comprehensive coverage across all types of testing

Stock Exchanges

Clearing Corporations

Depositories

Market Data Vendors

Credit Rating Agencies

Investment Advisors

Our Testing Methodology

We follow SEBI's latest internal audit framework, Industry Standards Forum (ISF) guidelines, and internationally recognized standards including COSO and IIA frameworks.

OWASP Top 10

Industry-standard framework ensuring comprehensive security assessment

PTES

Industry-standard framework ensuring comprehensive security assessment

NIST SP 800-115

Industry-standard framework ensuring comprehensive security assessment

Real-World Case Study

How we helped a client prevent a major security breach

The Problem

Client:

Regional Stock Exchange

Issue Found:

The exchange's investor grievance redressal mechanism was not properly documented and lacked adequate tracking systems for complaint resolution timelines.

Impact:

Risk of SEBI regulatory action and investor confidence erosion.

Our Solution

Actions Taken:

  • Implemented comprehensive grievance management system
  • Enhanced documentation and tracking procedures
  • Established automated reporting mechanisms
  • Strengthened audit committee oversight

Result:

Achieved full SEBI compliance with improved investor satisfaction ratings.

Why Choose HiTrust Infotech?

Deep SEBI regulations expertise

Financial market operations knowledge

Qualified audit professionals (CA, CFA, FRM)

Independence and objectivity assurance

Policy-driven audit approach

Standardized methodology implementation

Proven track record with MIIs

Industries We Serve

Specialized security testing across diverse industry sectors with tailored approaches for each domain

Stock Exchanges

Clearing Corporations

Depositories

Asset Management Companies

Mutual Fund Companies

Investment Banking

Didn't See Your Industry?

We adapt our security testing methodologies to meet the unique requirements of any industry. Our flexible approach ensures comprehensive coverage regardless of your sector.

Industry Expertise
Compliance Ready
Custom Solutions

Ready to be Secure?

Ensure your organization's SEBI compliance and governance are future-ready. Partner with HITRUST Infotech Solution Private Limited for comprehensive SEBI compliance internal audit services.

011-43061583
info@hitrustinfotech.com
24/7 Support
100% Confidential
Expert Team

Professional SEBI Compliance Internal Audit Services Services

HITRUST Infotech offers expert SEBI Compliance Internal Audit services in India. Market Infrastructure Institutions (MIIs) audit for stock exchanges, clearing corporations, depositories with regulatory compliance assurance.

Global Standards

OWASP Top 10 aligned testing methodology

Expert Team

Certified security professionals with deep expertise

Comprehensive Testing

REST, SOAP, GraphQL APIs with detailed reporting

10+
Years Experience
99%
Success Rate

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