Cybersecurity Audit for Stock Brokers
Stock brokers — including Qualified Stock Brokers (QSBs) — are required by SEBI to maintain a documented cybersecurity programme under the CSCRF and the SEBI broker cybersecurity framework. Digital Defense provides scoped audits aligned with these specific obligations, including the additional resilience controls that apply to QSBs.
Who needs this
Retail stock brokers and discount brokers
Qualified Stock Brokers (QSBs) under SEBI's enhanced framework
Depository participants and clearing members
Sub-broker / authorized-person networks under a parent broker
Algo-trading & smart-order-routing platforms
Problems we solve
- 01
OMS / RMS exposed to remote-code-execution via legacy desktop terminals
- 02
Mobile trading apps with insecure session, deep-link and order-modification flows
- 03
Insufficient segregation between dealer terminals and surveillance
- 04
Inadequate evidence for SEBI's quarterly cybersecurity reporting
- 05
No documented incident playbook for trade-halt / market-abuse scenarios
Our methodology
- 1
CSCRF baseline
Map current controls to CSCRF IPDRR pillars; identify QSB-specific gaps.
- 2
Asset & risk classification
Critical, sensitive, supporting systems; RTO/RPO definitions.
- 3
VAPT
OMS, RMS, dealer terminals, surveillance, mobile/web trading apps, partner APIs, KYC service.
- 4
Red-team scenarios
Mass-order injection, latency abuse, position-leak, market-data poisoning, insider compromise simulations.
- 5
Drill + report
Documented table-top exercise; signed audit report; SEBI quarterly evidence pack.
What you receive
CSCRF gap-assessment report
VAPT report covering OMS / RMS / trading apps / APIs
Red-team scenario test report
Table-top drill report + incident playbook
Quarterly SEBI evidence pack template
Frequently asked questions
Do you audit qualified stock brokers (QSBs)?
Yes — including the QSB-specific resilience controls, segregation requirements and quarterly evidence reporting expected by SEBI.
Do you cover algo-trading platforms?
Yes. Algo and smart-order-routing platforms are tested for input validation, rate-limit abuse, kill-switch effectiveness, audit trail integrity and exchange-side compliance.
Is your VAPT report accepted by exchanges?
Yes — as a CERT-In Empanelled auditor, our reports are accepted by NSE, BSE and MCX in member inspections.
Can you build us a SEBI CSIRT incident response playbook?
Yes — including SEBI CSIRT report templates, IOC and TTP capture, and the 6-hour reporting clock for material incidents.
What about sub-broker / authorized person scope?
We extend the audit downstream to AP / sub-broker terminals on a sampled basis, with the parent broker's responsibility matrix clearly documented.
Related services
Ready to scope this engagement?
Talk to Digital Defense — India's CERT-In Empanelled cybersecurity team.
Book a consultation