In today’s fast-evolving digital and financial landscape, regulatory compliance is no longer a back-office function—it’s a strategic imperative. With increasing scrutiny around data protection, cybersecurity, and financial transparency, organisations operating in India must align with the compliance frameworks set by SEBI, IRDAI, and RBI. Failure to comply not only leads to regulatory penalties but also affects brand reputation and operational integrity.
SEBI Compliance Overview
The Securities and Exchange Board of India (SEBI) ensures transparency and protects investor interests in the securities market. Compliance with SEBI regulations includes timely disclosures, fair trading practices, prevention of insider trading, and adherence to corporate governance norms. Businesses involved in capital markets, asset management, and brokerage services must maintain continuous compliance to avoid penalties and build investor trust.
IRDAI Compliance Overview
The Insurance Regulatory and Development Authority of India (IRDAI) regulates India’s insurance sector to ensure policyholder protection, market discipline, and financial soundness. IRDAI mandates include solvency monitoring, product approvals, disclosure requirements, and customer grievance redressal. Insurance companies and intermediaries must proactively adapt to regulatory updates to stay compliant and competitive.
RBI Compliance Overview
The Reserve Bank of India (RBI) acts as the apex financial regulator for banking and non-banking financial companies (NBFCs). RBI compliance encompasses a wide range of requirements including cyber security frameworks, KYC/AML policies, capital adequacy norms, and digital payment regulations. With frequent circulars and master directions, financial institutions must adopt a proactive compliance culture to meet RBI expectations.
Our Approach
At Seven Step Consulting Pvt. Ltd, our approach to SEBI, IRDAI, and RBI regulatory compliance is grounded in understanding your business model and aligning it with sector-specific regulatory obligations. We do not believe in one-size-fits-all solutions. Instead, we follow a structured yet flexible framework:
Compliance Readiness Assessments
We evaluate your current compliance posture against SEBI, IRDAI, and RBI frameworks to identify gaps and vulnerabilities.
Implementation Support
Our team provides hands-on assistance in implementing controls, preparing for audits, and responding to regulatory queries.
Customized Policy Development
We draft and revise internal policies to meet applicable regulatory standards, incorporating clauses for cybersecurity, risk mitigation, and customer protection.
Data Privacy Integration
We incorporate global data protection best practices into our compliance solutions, recognizing the increasing overlap between financial regulations and data privacy laws
Training & Awareness
We conduct workshops and training sessions to ensure internal teams understand their regulatory obligations and implement best practices confidently.
Our deep understanding of financial services, insurance, and capital markets helps us create actionable and sustainable compliance solutions tailored for your business.
When you partner with Seven Step Consulting, you gain access to a wide range of deliverables designed to elevate your compliance programme and reduce risk exposure. Our standard deliverables include:
Our goal is to transform compliance from a regulatory requirement into a strategic enabler.
What sets us apart?
- Domain Expertise – Specialists in SEBI, IRDAI, and RBI frameworks with sector-specific insights.
- Proven Methodology – From gap assessment to final implementation, our structured process ensures no blind spots
- Track Record – Successful compliance implementations for start-ups, mid-size firms, and listed companies.
- Scalable Solutions– Whether you're entering a new market or expanding operations, we scale compliance support as needed
- Integrated Approach –We integrate compliance with IT security, data privacy, and risk management systems.
- Recognised Thought Leadership –: Our consultants regularly contribute to industry roundtables, whitepapers, and forums.
With Seven Step Consulting, you get more than just a consultant—you get a compliance partner who understands your business.
Who needs to comply with SEBI, IRDAI, and RBI regulations?
Companies operating in capital markets, insurance, banking, NBFCs, fintech, and financial advisory services are required to comply with these regulatory bodies.
2. How often do SEBI, IRDAI, and RBI regulations change?
Regulatory frameworks are regularly updated through circulars, guidelines, and notifications. Businesses must stay informed and adapt accordingly.
3. What are the penalties for non-compliance?
Non-compliance can result in heavy fines, suspension of licenses, legal action, and reputational damage.
4. Can Seven Step Consulting help us prepare for inspections or audits?
Yes, we offer comprehensive audit and inspection readiness support, including mock audits, documentation checks, and regulator-facing communication strategies.
5. How do I start my compliance journey with Seven Step Consulting?
Just reach out via email or phone. We’ll conduct an initial consultation to understand your needs and propose a step-by-step roadmap tailored to your business.
