Regulatory Compliance Services
Securexocean delivers regulatory compliance audit services for financial institutions, technology companies, and enterprises operating under RBI, SEBI, IRDAI, CERT-In, and applicable international frameworks — from initial gap assessment through formal audit submission.
WHAT IS REGULATORY COMPLIANCE
Regulatory compliance requires organizations to implement, operate, and evidence security controls satisfying the specific mandates governing their industry. For banks, NBFCs, and payment operators, this means conforming to RBI cybersecurity directives. Market intermediaries operate under SEBI's cyber resilience framework. Insurance companies face IRDAI's information security guidelines. Across all categories, CERT-In's 2022 directions impose incident reporting and log retention obligations.
Failing a regulatory audit carries consequences beyond financial penalties — enforcement actions, license restrictions, mandatory remediation timelines, and reputational exposure. Securexocean acts as an independent external auditor conducting structured compliance assessments that identify gaps before regulators do and producing audit documentation in the format required for regulatory submission.
Every regulatory framework requires formally documented, version controlled security policy suites. Organizations that have implemented controls operationally but lack documented policies consistently fail regulatory audits on documentation conformance before technical controls are assessed.
RBI, SEBI, and CERT-In specify logging requirements and minimum retention periods. CERT-In's 2022 directions mandate 180-day log retention and NTP synchronization with the National Physical Laboratory time server. Logging gaps and absent tamper-evident storage are among the most frequently cited findings in financial sector audits.
Regulated organizations bear responsibility for third-party vendor security posture. Absence of formal vendor assessments, contractual security requirements, and periodic reviews represents a documented compliance gap under RBI, SEBI, and IRDAI mandates.
CERT-In requires cybersecurity incident reporting within six hours of detection. Organizations without formally documented, tested incident response plans face concurrent operational risk and regulatory exposure when incidents occur.
REGULATORY FRAMEWORKS WE COVER
Cybersecurity and IT framework requirements for scheduled commercial banks, cooperative banks, NBFCs, payment system operators, and digital lending platforms. Securexocean conducts structured audits against applicable Master Directions producing findings suitable for regulatory submission.
SEBI's CSCRF for stock brokers, depository participants, mutual funds, and market infrastructure institutions covering annual system audits, VAPT cycles, access control, and mandatory incident reporting. Reports formatted for exchange and depository submission.
Annual information security governance review, VAPT obligations, and CISO appointment requirements for all insurance companies operating in India under IRDAI information security guidelines.
CERT-In's 2022 directions covering six-hour incident reporting, 180-day log retention, NTP synchronization, and designated point of contact requirements for all covered entities.
All applicable frameworks identified based on licensing category, industry, and operational footprint. Overlapping controls mapped and a coordinated engagement structured to satisfy all requirements from a single assessment cycle.
Control-by-control evaluation against each applicable framework. Gaps documented with evidence, risk classification, and remediation priority producing an early indication of findings likely to appear in formal regulatory audit.
Technical and organizational controls implemented to close identified gaps — including policy documentation, log management configuration, incident response plan development, and staff training — within your regulatory submission schedule.
Compliance audit conducted with findings documented against each regulatory requirement. Report prepared in format required for submission to RBI, SEBI, IRDAI, or CERT-In. Support provided through regulatory queries and corrective action planning.
DELIVERABLES
Regulatory scoping report mapping all applicable frameworks to your operating model
Gap assessment report with control-by-control evaluation and prioritized remediation roadmap
Compliance audit report formatted for submission to the relevant regulatory authority
Security policy and procedure documentation tailored to your regulatory obligations
Incident response plan with notification procedures aligned to applicable reporting timelines
Remediation verification documentation confirming gap closure before formal submission
Post-submission support for regulatory queries and corrective action responses
REGULATORY ALIGNMENT
Annual system audit, VAPT, and cyber resilience requirements for all SEBI-regulated entity categories with documentation for exchange and depository submission.
Annual information security governance review, VAPT obligations, and CISO appointment requirements for all insurance companies operating in India.
Six-hour incident reporting, 180-day log retention, NTP synchronization, and point of contact obligations for all covered entities under the IT Act.
IS Audit requirements and IT Framework obligations for NBFCs, banks, and payment system operators addressed through structured audit engagements.
FREQUENTLY ASKED QUESTIONS
Talk to a Securexocean compliance specialist about your regulatory obligations, your current compliance posture, or the frameworks applicable to your licensing category. No commitment required for the initial consultation.
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