SEBI Compliance Audit

Ensure Adherence to Securities and Exchange Board of India Regulations

Overview

The SEBI Compliance Audit ensures that market participants such as stock brokers, asset management companies, and listed entities follow the regulations and guidelines laid down by the Securities and Exchange Board of India. The audit focuses on governance, investor protection, risk management, and financial integrity within capital markets.

Our Approach

1. Understanding Scope

We assess your role in the capital market ecosystem and identify the relevant SEBI compliance requirements.

2. Review Controls

We evaluate your internal controls, IT systems, disclosures, and investor protection mechanisms.

3. Compliance Assessment

We verify adherence to SEBI regulations, circulars, and periodic reporting norms.

4. Reporting & Action Plan

We provide a comprehensive audit report outlining non-compliances, control gaps, and a roadmap to compliance.

Why Choose Us?

Expertise in SEBI regulations and financial compliance frameworks
Specialized in auditing brokers, fund managers, and listed entities
Robust methodology aligned with regulatory expectations

Our Expertise

We support financial institutions and market participants in meeting SEBI audit requirements by offering deep insights, audit support, and advisory services tailored to capital market operations.

Frequently Asked Questions

1: Who needs to undergo a SEBI Compliance Audit?▶

SEBI-registered intermediaries like brokers, AMCs, and listed entities must undergo compliance audits regularly.

2: What areas are reviewed in a SEBI audit?▶

Internal controls, disclosures, IT systems, trading practices, and investor protection measures.

3: What happens after the audit?▶

A report with observations, compliance gaps, and recommendations is submitted to guide necessary actions and SEBI submissions.