Capital Markets Page
Compliance Management Built for SEBI-Regulated Entities
Brokerages, AMCs, depositories, and market infrastructure institutions operate under intense regulatory scrutiny. SEBI circulars, cybersecurity frameworks, investor protection requirements, exchange compliance. eQomply brings it all into one system.
The regulatory reality for capital markets entities
SEBI issues hundreds of circulars a year. Add exchange requirements, depository compliance, and cybersecurity mandates to the mix. Compliance teams track obligations across multiple regulators, multiple business lines, and multiple deadlines. Most do it with spreadsheets and email.
1
High volume of regulatory updates
SEBI circulars arrive frequently. Each one needs to be read, mapped to your business, assigned to owners, and tracked to completion. The backlog grows faster than teams can process it.
2
Multiple regulators and exchanges
SEBI is the primary regulator, but compliance also means NSE, BSE, NSDL, CDSL requirements. Each with their own formats, deadlines, and reporting expectations.
3
Cybersecurity framework compliance
SEBI's cybersecurity and cyber resilience framework adds technical controls, audit requirements, and board reporting obligations. Security and compliance teams track these separately.
4
Inspection and audit intensity
SEBI inspections, exchange audits, internal audits, statutory audits. Evidence requests overlap but formats differ. Teams recreate the same documentation multiple times.
What changes with eQomply
eQomply is built for the regulatory intensity of capital markets. Pre-mapped SEBI workflows. Obligations tracked across regulators and exchanges. Evidence captured as work happens. Inspection-ready without the fire drill.
Pre-mapped SEBI workflows
Circulars on trading, settlement, investor protection, cybersecurity, governance. Obligations mapped and ready to track from day one.
Multi-regulator obligation tracking
SEBI, NSE, BSE, NSDL, CDSL. All requirements in one system. No more separate trackers per regulator or exchange.
Cybersecurity framework mapped to controls
SEBI cybersecurity requirements linked to your control framework. Evidence captured once, available for both security audits and compliance reviews.
Evidence captured as work happens
Attestations, approvals, control testing. Evidence logged at the source, timestamped, and linked to the relevant obligation.
Inspection and audit readiness
When SEBI inspections or exchange audits begin, evidence already exists. Complete, organized, and exportable in the format required.
Board-ready reporting in minutes
Compliance status, cybersecurity posture, findings, exceptions. Reports generated for board and committee presentations without weeks of preparation.
Use Cases
How this works in practice
A circular on margin requirements is issued. eQomply maps it to affected business lines, assigns tasks to owners, and tracks completion. Deadline visibility across the compliance team. No separate tracker created.
nspection notice arrives with a list of documents requested. Instead of three weeks of collection across departments, your team pulls reports from eQomply. Evidence is already linked to controls and obligations. Gaps identified before the inspector asks.
Annual cybersecurity audit begins. Instead of security and compliance teams assembling evidence separately, both pull from the same source. Control evidence mapped to SEBI requirements. No duplication, no gaps.
See how eQomply works for capital markets entities
A walkthrough tailored to SEBI compliance requirements.