REGULATORY CYBER AUDIT READINESS: Prepare against the requirements that apply to your entity.
Regulatory cyber audit readiness prepares financial-sector organisations for the technology and security reviews applicable to their entity category. We map relevant SEBI, RBI or IRDAI requirements to controls, remediation and evidence, so preparation follows the obligations and audit route that apply to your organisation.
- Discipline
- Governance, Risk & Compliance
- Engagement type
- Advisory
Start with your regulatory position.
A shared control catalogue cannot determine whether a requirement applies to a broker, an insurer, a bank or a technology provider. We first establish your entity type, applicable directions and audit expectations, including amendments and external assurance requirements that affect the engagement.
SEBI-regulated entities
Review relevant CSCRF requirements against the entity's category and activities, including governance, controls, assurance and supporting records.
RBI-regulated entities
Map the applicable technology, cybersecurity, resilience and assurance requirements to the regulated entity and services being reviewed.
Insurance-sector entities
Assess the relevant IRDAI information and cyber security requirements for the organisation and its role, with attention to governance and operational evidence.
Make each requirement traceable to work and evidence.
Applicability and audit basis
Record the relevant requirements, systems, periods, expected submissions and qualifications or independence needed for formal assurance.
Control and evidence review
Examine agreed areas such as governance, access, logging, incident handling, resilience and supplier oversight against the selected requirements.
Remediation coordination
Help implement changes, assign actions and follow up on issues that need technology, business or provider involvement.
Audit preparation
Organise records, review unresolved gaps and support responses to the appointed auditor's information requests.
What you receive
Requirements register
Obligations and audit expectations mapped to your entity and the agreed scope.
Gap and remediation record
Missing controls or evidence, responsibility and progress.
Audit preparation file
Organised supporting material, status of findings and clear outstanding actions.
Does readiness support replace the required independent audit?
No. Preparation helps address gaps and organise evidence. Where a regulator requires an audit by an appropriately qualified, independent or empanelled provider, that requirement still applies.
Can an existing ISO 27001 certificate be enough?
It may provide useful evidence for overlapping controls, but the regulatory requirements and reporting expectations need to be assessed separately.
Can you support an audit already underway?
Yes. We can review requests and findings, identify missing evidence and support corrective action. Records must accurately reflect what happened; a missing historical activity cannot be recreated by writing a policy afterwards.
Which requirement or finding needs attention?
Tell us your regulated entity type, the audit or review involved and the dates and requests already communicated to you.
Related services: IT General Controls Audit and Third-Party Risk Management.