This document summarizes ANB Solutions' approach and methodology for providing assurance services to brokers, trading members, and market infrastructure institutions.
For brokers and trading members, ANB profiles the client to determine the audit frequency based on their facility and segment of operation. ANB then reviews policies and procedures related to information security and cyber security, and walks through system controls and processes to ensure compliance with regulatory guidelines.
For market infrastructure institutions like exchanges, clearing houses and depositories, ANB profiles the business and applicable SEBI guidelines. ANB assesses controls by reviewing policies, implementation records, and interviews stakeholders to verify adherence to regulatory compliance.
This document summarizes ANB Solutions' approach and methodology for providing assurance services to brokers, trading members, and market infrastructure institutions.
For brokers and trading members, ANB profiles the client to determine the audit frequency based on their facility and segment of operation. ANB then reviews policies and procedures related to information security and cyber security, and walks through system controls and processes to ensure compliance with regulatory guidelines.
For market infrastructure institutions like exchanges, clearing houses and depositories, ANB profiles the business and applicable SEBI guidelines. ANB assesses controls by reviewing policies, implementation records, and interviews stakeholders to verify adherence to regulatory compliance.
This document summarizes ANB Solutions' approach and methodology for providing assurance services to brokers, trading members, and market infrastructure institutions.
For brokers and trading members, ANB profiles the client to determine the audit frequency based on their facility and segment of operation. ANB then reviews policies and procedures related to information security and cyber security, and walks through system controls and processes to ensure compliance with regulatory guidelines.
For market infrastructure institutions like exchanges, clearing houses and depositories, ANB profiles the business and applicable SEBI guidelines. ANB assesses controls by reviewing policies, implementation records, and interviews stakeholders to verify adherence to regulatory compliance.
Member/ Broker/ Depository Participants Assurance Services Brokers and Trading Members are required to comply with various SEBI, NSE, BSE, MCX, NSDL and CDSL guidelines as issued from time to time. Organization Control Framework Profiling Developments
Develop checklist based on
Understand the facility and the latest exchange Terms segment of operation of of Reference with special broker to determine the emphasis on cyber audit frequency. security, order & risk management system Methodology
Review of policies and Walkthrough and review
procedures related to of system processes, Information Security order management and and cyber security. risk management system.
Walkthrough of Interview stakeholder to
systems controls in understand practices to place to ensure comply with regulatory compliance with cyber guidelines. security framework guidelines Approach & Methodology for Market Infrastructure Institution assurance services
Exchange (stock & commodity), Clearing Houses and
Depositories are essential element of Market Infrastructure Institutions (MII) and part of larger Critical Information Infrastructure (CII) of the nation. They need to comply with SEBI, CERT-IN guidelines MII Profiling Control Assessment
Understand the business of MII Peruse past audit reports
and the SEBI guidelines and SEBI inspection governing it. reports.
Develop checklist based
on the SEBI Circulars, NTRO guidelines. Methodology
Review the IT & Review the Interview
cyber security implementation stakeholders to policies and of controls by understand procedures for perusing the practices to adequacy of records comply with design regulatory guidelines. Timeline for Guidelines for Market Institution Infrastructure How ANB Works ANB advises and assists our clients through risk management, business valuation, and advisory services. OUR MII CLIENTELE OUR BROKER CLIENTELE