SEBI IT Compliance Implementation Services

Description

By Nipto Coins LLP – Capital Markets & Cybersecurity Specialists

Full Service Description

Entities regulated by the Securities and Exchange Board of India (SEBI) are required to comply with multiple IT, cybersecurity, and risk management circulars to ensure market integrity, data protection, and operational resilience.

Nipto Coins LLP provides end-to-end SEBI IT Compliance Implementation Services through the Make Audit Easy platform, helping market intermediaries interpret SEBI regulations and implement effective, audit-ready IT and cybersecurity controls.

Our implementation aligns with key SEBI directives including Cybersecurity & Cyber Resilience Framework, IT Governance Guidelines, Business Continuity & Disaster Recovery (BCP–DR) requirements, System Audit readiness, and Incident Reporting obligations. The approach is risk-based and regulator-focused, ensuring defensible compliance.

Feature	Basic	Standard	Enterprise	Advance
Engagement Mode	Virtual Only	Virtual + Onsite	Virtual + Multi-City Onsite	Virtual + Extended Multi-City Onsite
Locations Covered	3	5	7	10
Total Cities Covered	NA	1	2	3
Virtual Coverage	HO / 3 Units	HO + Key Branches	HO + Regional Offices	Enterprise-Wide Coverage
Onsite Coverage	Not Included	2 Locations (1 City)	4 Locations (2 Cities – PAN India Tier 1/2)	5 Locations (3 Cities – PAN India Tier 1/2)
Regulatory Gap Assessment	High-Level SEBI Compliance Review	Detailed Circular & Framework Mapping	Multi-Entity Cyber Assessment	Enterprise-Wide Supervisory Readiness Review
Cybersecurity Framework Alignment	Policy Templates	SEBI CSF Alignment	Control Validation & Effectiveness Review	Advanced Monitoring & SOC Advisory
System Audit Readiness	Audit Checklist	Documentation & Evidence Structuring	Mock System Audit Simulation	Full System Audit & Observation Closure Support
Access & Privilege Controls	Basic Policy Review	Role-Based Access Validation	Privileged Access Governance	Continuous Access Monitoring Model
Log Monitoring & SIEM	Logging Guidance	Log Review Framework	SIEM Advisory Support	Advanced Threat Monitoring Model
Vulnerability & Patch Management	Policy Templates	Structured Vulnerability Framework	Remediation Tracking Model	Risk-Based Vulnerability Governance
BCP & DR Compliance	BCP Template Review	DR Framework Alignment	DR Testing Advisory	Crisis Simulation & Recovery Optimization
Third-Party & Vendor Risk	Advisory Guidance	Vendor Risk Framework	Critical Vendor Review	Enterprise Vendor Risk Governance Model
Inspection / Regulatory Support	Readiness Checklist	Documentation Assistance	Inspection Simulation	Full Inspection & Regulatory Interaction Support
Engagement Timeline	3–11 Days	5–15 Days	7–25 Days	10–30 Days
Post-Engagement Support	5 Months	5 Months	7 Months	11 Months
Add-On
Additional Virtual Location	10%	7%	7%	5%
Additional Onsite (Same City)	NA	15%	15%	10%
Additional Onsite (Another City)	NA	NA	20%	15%
Timeline
Engagement Timeline	15 Days	15 days to 2 Month	2 to 4 Month	4 Month +
Post-Engagement Support	1 Months	3 Months	7 Months	11 Months

*TC

Key Implementation Coverage

SEBI applicability & regulatory scoping
Gap assessment against SEBI IT & cyber circulars
IT governance & information security framework
Identity, access & privileged account controls
Network security, monitoring & logging
Cyber incident detection & SEBI reporting
BCP–DR implementation & resilience testing
Vendor, cloud & outsourcing risk management
Policy, SOP & compliance documentation
SEBI system audit & inspection readiness

Who This Service Is For

Stock brokers & depository participants
Mutual funds & asset management companies
Portfolio managers & investment advisors
Stock exchanges & clearing corporations
SEBI-registered intermediaries

Why Nipto Coins LLP

Strong experience in SEBI IT compliance
Practical, audit-oriented implementation
Clear mapping to SEBI circulars & controls
Alignment with ISO 27001 & RBI frameworks
Seamless engagement via Make Audit Easy

Outcome

A regulator-aligned IT and cybersecurity compliance framework that meets SEBI expectations and supports successful system audits.

Additional information

Audit Service Plan	I. Basic, II. Standard, III. Enterprise, IV. Advance
Base City or Zone	Bengaluru, Chennai, Delhi (NCR), Hyderabad, Kolkata, Mumbai, Pune, Zone – East, Zone – North, Zone – South, Zone – West

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