ANB Solutions

Approach & Methodology Trading

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
Profiling
Understand the facility and
segment of operation of
broker to determine the
audit frequency​.
Control Framework
Developments
Develop checklist based on
the latest exchange Terms
of Reference with special
emphasis on cyber
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​