AuditWise: SEBI Compliance Solution
YOUR AUDIT NAVIGATOR
Simplify SEBI Compliance for Brokers, AMCs & Market Intermediaries
Stay fully aligned with SEBI’s evolving regulatory framework. AuditWise automates compliance evidence management, circular mapping, and inspection readiness—helping financial market participants reduce compliance risk while boosting operational efficiency.
Auditwise
Your Audit Navigator
"Built by experts in compliance technology."
AuditWise is a cloud-native audit workflow platform designed specifically for banks, NBFCs, fintechs, and insurance firms. Replace spreadsheets with automated processes, centralized insights, and regulator-ready reports.
Why SEBI Compliance Is Challenging
SEBI regulations demand strict adherence to investor protection, transparency, and operational standards. From stockbrokers to asset management companies (AMCs), ensuring continuous compliance is resource-intensive and error-prone when handled manually.
Common pain points include:
- Tracking frequent SEBI circulars and updates manually
- Maintaining audit evidence across fragmented spreadsheets and emails
- Preparing for SEBI inspections and audits under tight deadlines
- Managing compliance for KYC, insider trading, and cybersecurity mandates
- Ensuring consistent monitoring across branches and intermediaries
How AuditWise Simplifies SEBI Compliance
AuditWise provides an end-to-end compliance automation platform designed for SEBI-regulated entities. By digitizing workflows, centralizing evidence, and offering real-time dashboards, it ensures seamless compliance and audit readiness.
With AuditWise, you get:
- Circular-to-Control Mapping: Automated mapping of SEBI guidelines to internal controls
- Centralized Document Repository: Store and manage compliance evidence for quick access during inspections
- Inspection Readiness Dashboards: Generate SEBI audit reports instantly
- Continuous Monitoring: Real-time visibility into compliance gaps and risks
- KYC & Insider Trading Controls: Automate compliance checks aligned with SEBI standards
SEBI-Specific Feature Mapping
SEBI-Specific Feature Mapping
AuditWise directly supports SEBI compliance requirements:
- KYC & AML Compliance: Automate onboarding and verification aligned with SEBI KYC Registration Agencies (KRAs)
- Cybersecurity & IT Audit: Meet SEBI’s IT & cybersecurity framework requirements for brokers and exchanges
- Insider Trading Monitoring: Track and report compliance with SEBI’s insider trading regulations
- Regulatory Reporting: Generate SEBI-ready compliance reports for inspections
- Risk-Based Supervision: Automate compliance workflows for AMCs, brokers, and investment advisors
What You Gain with AuditWise
- ⏱ Reduce SEBI inspection prep time by 40%
- 💰 Save ₹25–40L annually on manual compliance overhead
- 📊 Generate regulator-ready dashboards in minutes
- 🔒 Strengthen compliance posture for KYC, AML & insider trading
- ✅ Minimize the risk of penalties and reputational loss
Success Story: Leading Brokerage
A large brokerage firm adopted AuditWise to simplify SEBI compliance. Results included:
- Automated compliance checks across multiple SEBI circulars
- Centralized KYC/AML documentation for regulator access
- Inspection prep time reduced from 3 weeks to 1 week
👉 [Read the Full Case Study]
Download the SEBI Compliance Checklist
Ensure your firm is always SEBI-ready with our actionable compliance checklist.
👉 [Download Free Guide]
SEBI Compliance FAQs
Q1. Does AuditWise cover all SEBI circulars?
Yes. AuditWise is updated with the latest SEBI circulars and maps them to internal processes.
Q2. Can AuditWise support multiple entities (brokerage + AMC)?
Yes. AuditWise is built for enterprises managing compliance across multiple SEBI-regulated entities.
Q3. How does AuditWise simplify SEBI inspections?
It automates evidence gathering and generates regulator-ready reports, cutting prep time by weeks.
Q4. Can we integrate AuditWise with existing systems?
Absolutely. AuditWise integrates with ERP, HRMS, and other compliance tools.
Q5. How secure is AuditWise?
AuditWise is cloud-native, ISO 27001-certified, and SOC 2 compliant, ensuring enterprise-grade data protection.