What compliance workflows does SOFCOM support?

Re-KYC cycles, KYC categorization, AML and risk profiling, SEBI reporting, audit trails, exchange surveillance support, and regulatory data submissions.

How does Re-KYC automation work?

The system tracks each client's KYC validity, triggers Re-KYC requests on the right cycle, runs digital verification (Aadhaar/Digilocker/CKYC), and updates KRAs and depository records automatically.

Are audit trails immutable?

Yes. All compliance-relevant events are written to an append-only, timestamped trail with user, source IP, before/after values, and reasoning — exportable for audits.

Do you support SEBI LODR and exchange filings?

Yes. SOFCOM supports SEBI LODR disclosures, exchange filings, depository reporting, and regulatory-mandated submissions with formatted exports and automated reminders.

How are regulatory changes rolled out?

SOFCOM tracks SEBI circulars, exchange notices, and depository directives. Required logic changes are implemented, tested, and released to clients ahead of the effective date.

Services

Compliance built into the workflow, not bolted on after

Re-KYC, audit trails, SEBI updates, exchange surveillance, and regulatory reporting — wired directly into your trading and back-office stack.

Review Compliance Stack What's covered

Compliance Cockpit · ACME Capital · FY 2025-26

100% Aligned

Re-KYC Cycle Auto-refresh

Due in 14d

Completed MTD

218✓

KRA · CKYC sync

100%

Failed

AML & Screening Live monitoring

PEP hits today

Sanctions match

STR queue

Risk profile

12.8Kscored

Surveillance Signals · Live 2 active · 1 cleared today

Unusual volume · CLIENT-1234 · NIFTY F&O 5× avg #SURV-883 · 2m

Concentration · CLIENT-5678 · 78% in single stock #SURV-882 · 18m

Self-trade pattern resolved · 4 orders cancelled #SURV-881 · 1h

Audit Trail · Live Immutable

14:32:18

Re-KYC approved · CLIENT-9821

user=ops.priya · ip=10.0.4.18

14:30:42

Margin override · CLIENT-1234

user=risk.rohit · reason=intraday

14:28:05

Order placed · RELIANCE · 50 qty

via=API · RMS=passed

14:25:11

PEP screening · CLIENT-5678 · match

flagged for review

Regulatory Calendar 4 upcoming · 7 days

23May

SEBI LODR Reg 33 · Quarterly

Auto-prepared · Awaiting signoff

SEBI

27May

CDSL DP Half-yearly Audit

Data export queued

CDSL

30May

AMFI ARN Renewal · 3 advisors

Reminder sent 7d ago

AMFI

02Jun

NSE Mock Trading Session

Saturday · 11:00-14:00

NSE

0 missed deadlines · 100% of events trailed · 12.8K clients monitored

Audit-ready SEBI · Exchanges · Depositories

100%

Events audit-trailed

Missed regulatory dates

KYC providers integrated

Real-time

Surveillance signals

Re-KYC engine

Validity tracking, cycle triggers, digital verification, KRA & depository sync — fully automated.

Audit trails

Immutable, timestamped logs of every compliance-relevant action — exportable for audits.

Regulatory reporting

SEBI LODR, exchange filings, depository data, AML reporting — formatted and scheduled.

Surveillance support

Pattern detection, threshold alerts, and case management for exchange surveillance requirements.

Risk & AML profiling

Risk categories, PEP & sanctions screening, transaction monitoring, and STR support.

Regulation tracking

SEBI circulars and exchange notices mapped to product changes, implemented before effective dates.

Audit coming up? Pressure-test your compliance stack.

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