A Delhi-based securities broker engaged 63SATS Cybertech Ltd to design and implement an ISO 27001:2022–compliant Information Security Management System (ISMS) and achieve external certification mandated by the National Stock Exchange (NSE). ISO 27001 is an international standard that specifies requirements for establishing, implementing, maintaining, and continually improving an ISMS, widely adopted in financial services due to the sensitivity of client data and regulatory scrutiny.
The customer is a mid-sized securities broker with operations in Mumbai and Delhi, handling high volumes of trading data, client KYC information, and connectivity to multiple market infrastructure institutions. As part of evolving NSE regulatory expectations, the broker was required to obtain ISO 27001:2022 certification within aggressive timelines to continue operations without compliance risk.
No internal Information Security or GRC (Governance, Risk and Compliance) team.
No existing ISMS framework, policies, or structured risk management processes.
No internal Information Security or GRC (Governance, Risk and Compliance) team.
No existing ISMS framework, policies, or structured risk management processes.
63SATS delivered an end-to-end ISO 27001:2022 program, covering strategy, implementation, and certification support.
We supported the client end to end from ISO 27001 policy and documentation development to ISMS framework implementation, internal audit support, and external certification audit readiness. Our team built the entire program from scratch, implemented the required controls, and guided the organisation through closure of all audit observations, including two major and two minor non-conformities raised during the external audit.
The project required sustained coordination and disciplined execution, especially since the engagement had already been pending for a considerable period before reassignment. Despite challenging timelines and dependencies, the program was revived and completed successfully. During the external audit, our team supported the client through root-cause analysis, corrective actions, and closure evidence until all findings were resolved.
The engagement resulted in successful ISO 27001:2022 certification for the securities broker within the required NSE regulatory timelines, avoiding compliance risk and potential business disruption. The broker moved from having no formal security governance to a fully implemented, auditable ISMS covering both Mumbai and Delhi locations.
Regulatory compliance and audit readiness: The broker met NSE’s ISO 27001 certification requirement, strengthening its position with regulators, exchanges, and counterparties.
Improved risk management: Formalized risk assessment and treatment processes now allow management to understand and prioritize information security risks, enabling informed investment and control decisions.
Structured governance and accountability: Clear roles, responsibilities, and management review processes created a sustainable security governance model, reducing dependence on ad-hoc practices.
Reduction of audit findings over time: Closure of major and minor nonconformities and establishment of corrective action processes reduced repeat audit issues and improved maturity for subsequent surveillance audits.
Enhanced security culture: Employees now have baseline cybersecurity awareness, leading to better behaviour around passwords, email usage, data handling, and incident escalation.
