SEBI Compliance for Capital Market Participants
Brokerages, AMCs, depositories, and other market intermediaries operate under extensive SEBI regulations. Governance, cybersecurity, investor protection, and operational requirements that evolve with every circular. eQomply helps you track it all in one place.
The scope of SEBI compliance
SEBI-regulated entities manage obligations across governance, operations, risk, and technology. Circulars from SEBI, directives from exchanges, and requirements from depositories add up. Compliance teams track these across functions, often with limited visibility into the full picture.
Corporate Governance
Board composition, committee structures, related party transactions, disclosure requirements.
Cybersecurity Framework
IT governance, cyber resilience, incident reporting, annual audits.
Investor Protection
Grievance redressal, KYC, client fund segregation, fair dealing practices.
Risk Management
Market risk, operational risk, liquidity risk, stress testing, business continuity.
AML & KYC
Customer due diligence, suspicious transaction reporting, PMLA alignment.
Operational Compliance
Margin requirements, trade reporting, settlement obligations, record keeping.
Regulatory Reporting
Periodic filings to SEBI, exchanges, and depositories. Ad-hoc submissions during inspections.
Why SEBI compliance is hard to operationalize
Capital market participants receive directives from multiple sources.
SEBI circulars, exchange notices, depository requirements.
Tracking what applies, assigning ownership, meeting deadlines, and producing evidence during inspections requires coordination across teams that often work in silos.
1
Multiple regulatory sources
SEBI, NSE, BSE, NSDL, CDSL. Each issues its own circulars and expects compliance. Tracking all of them in one place is rare.
2
Cybersecurity requirements
SEBI's cybersecurity framework requires annual audits, incident reporting, and board-level oversight. Evidence must be produced across IT, compliance, and risk.
3
Circular implementation
A new circular lands. Applicability assessment, task assignment, deadline tracking, evidence capture. Most teams do this manually, every time.
4
Inspection and audit cycles
SEBI inspections, exchange audits, internal audits. Each requires documentation that spans multiple functions and time periods.
How eQomply helps
eQomply brings SEBI compliance into one system. Pre-mapped obligations, multi-source circular tracking, evidence capture, and board-ready reporting. No more chasing updates across teams.
Pre-mapped SEBI workflows
Key SEBI regulations and circular requirements mapped to obligations, tasks, and controls. Ready to use, not built from scratch.
Multi-source circular tracking
SEBI, NSE, BSE, NSDL, CDSL circulars tracked in one place. Applicability flagged, owners assigned, deadlines monitored.
Cybersecurity compliance
SEBI cybersecurity framework requirements tracked with evidence linked to controls. Audit-ready documentation without last-minute collection.
Evidence management
Evidence captured as work happens, linked to obligations, timestamped. Ready for inspections and audits.
Board reporting
Compliance status, exceptions, and trends in board-ready format. Generated in minutes.
Inspection readiness
Findings tracked, responses documented, closure workflows built in. Historical records accessible for recurring audits.
Industries and roles this applies to
SEBI regulations apply to a defined set of market intermediaries. Within these entities, compliance spans multiple functions. These pages may be relevant to you.
01.
By Industry
Entities registered with or regulated by the Securities and Exchange Board of India.
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Stockbrokers & Sub-brokers
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Asset Management Companies
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Depositories & Depository Participants
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Merchant Bankers
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Investment Advisers & Research Analysts
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Portfolio Managers
See how eQomply handles SEBI compliance
A walkthrough tailored to your entity type and regulatory requirements.