Product Page · AutoTradeTech · SEBI Compliant · NSE | BSE | MCX | NCDEX
AutoTradeTech's Surveillance and Compliance module gives brokers automated tools to detect suspicious trading activity, meet SEBI's mandatory reporting obligations, and maintain complete audit trails — protecting your licence, your clients, and your reputation.
SEBI has significantly increased enforcement action against brokers for compliance failures in recent years. Penalties for inadequate surveillance, late regulatory submissions, and incomplete audit trails have ranged from fines to trading suspensions. AutoTradeTech's Compliance module is your automated defence against regulatory risk.
Trading surveillance refers to the systematic monitoring of trading activity to detect and prevent market manipulation, insider trading, front-running, and other prohibited practices. SEBI mandates that all registered stock brokers maintain robust surveillance mechanisms to identify and report suspicious trading patterns.
Manual surveillance is inadequate at scale — a broker with thousands of active clients cannot rely on human review of every trade. AutoTradeTech's automated surveillance system monitors all client activity in real time and flags anomalies for compliance team review, dramatically reducing the risk of regulatory exposure.
Real-time detection of suspicious trading patterns — wash trades, layering, spoofing, circular trading, and unusual concentration in specific scrips.
All flagged activities appear in a compliance dashboard with risk scoring. Compliance officers can review, investigate, and document actions taken.
Automatically generate and file all mandatory SEBI reports on schedule — UCC reports, margin reports, short margin reports, and more.
Every order, trade, modification, and cancellation is logged with full timestamps and user IDs — maintained for the SEBI-mandated 5-year period.
Monitor client trading behaviour over time. Identify clients whose patterns deviate significantly from their historical norms.
Flag clients who hold unusually large positions in illiquid scrips or trade volumes that represent a disproportionate share of exchange activity.
Link surveillance alerts with client KYC data to assess risk profiles. Flag high-risk clients automatically for enhanced monitoring.
Maintain a full record of all communications with SEBI, NSE, BSE, and other regulators — queries received, responses sent, deadlines met.
Every SEBI-registered broker is legally required to maintain surveillance and compliance mechanisms. However, the depth of monitoring required scales with the size and complexity of your client base. AutoTradeTech's module is designed for brokers of all sizes — from boutique operators managing a few hundred clients to large retail brokerages with lakhs of active traders.
Institutional brokers handling FPI and FII client orders have additional compliance obligations around position limits, disclosure thresholds, and cross-border reporting. AutoTradeTech's compliance module covers these requirements as well.
The system generates all reports in the correct format and on schedule. Filing with SEBI and exchanges requires broker authorisation — the system prepares the reports and your compliance officer reviews and submits them with one click.
Each alert is assigned a risk score based on the severity and frequency of the detected pattern. High-risk alerts appear prominently in the compliance dashboard with recommended actions. Low-risk alerts are logged for periodic review.
All trade data, order logs, and audit trails are retained for a minimum of 5 years as mandated by SEBI, with secure, tamper-proof storage.
Book a free demo to see how AutoTradeTech's Surveillance module monitors client activity, generates regulatory reports, and gives your compliance team the tools to stay ahead of SEBI requirements.
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