Risk Assessments and Regulatory Compliance Testing Services

Technology and cloud assessments, penetration testing and vulnerability assessments, and cyber exams
  1. ACA Aponix
  2. Risk Assessments and Regulatory Compliance Testing Services

We offer a variety of risk assessment services to help companies identify gaps in their cybersecurity and regulatory posture and identify technology-related risks. We can also conduct penetration testing and identify network vulnerabilities.

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Our solutions

Risk Assessments and Testing

We can conduct an assessment across 700+ topics to identify technology-related risks and provide recommendations for improvement.

Mock Regulatory Cyber Exams

We can help your firm prepare for an SEC, NFA, or FINRA cyber exam by reviewing your information security program from a regulator’s perspective.

Threat Intelligence, Phishing Testing, and Monitoring

Cyber threats are constantly evolving, so it’s important to stay on top of new threats and address them as quickly as possible. We provide regulatory and cyber alerts, paste site and domain registration monitoring, and staff phishing testing to help protect your company from cyber attacks

Penetration Testing & Vulnerability Assessments

We can help identify network vulnerabilities that could be exploited by a hacker and lead to a breach through vulnerability scanning or penetration testing. 

 

Payment and Fraud Risk Assessment

We can help your firm better understand payment flow and fraud risk mitigation opportunities with payment flow review, risk analysis, and reporting.

Microsoft Office 365 Security and Cloud Assessments

Companies are increasingly moving to cloud-based services such as Microsoft® Office 365®. Many companies do not take full advantage of the available security settings, which can dramatically impact the security and regulatory posture of your environment. This is also true of other cloud environments. Our assessment can help determine whether your company’s cloud environment is configured to protect user identities, enable compliance oversight obligations, and identify data loss. Based on our findings, we can assist your company with developing a practical action plan to address key risks.

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Latest insights

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Guidance on Impersonated Registered Domain Names

A summary of what to look for in a threatening domain and how to mitigate a substantiated threat

Article
  • Cybersecurity
  • Cybersecurity Resources
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Updated: Firms Encouraged to Remain Vigilant Due to Heightened Cybersecurity Concerns Over the Current Situation in Ukraine

In light of recent geopolitical issues with Russia and Ukraine, both the UK’s National Cyber Security Centre and the U.S. Cybersecurity & Infrastructure Security Agency (CISA) have released guidance on action steps firms can take to bolster and protect their cyber programs.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
Regulatory Horizon 2022

Four Reasons to Attend Regulatory Horizon 2022 | Prepare for the Challenges of Tomorrow

On 8-10 March, we bring together a wealth of financial services industry experts at our virtual conference. Over 3 days and 10 sessions, they’ll examine a wide variety of governance risk and compliance hot topics and challenges. Learn more about why you should add this event to your calendar.

Article
  • Compliance
  • ComplianceAlpha
  • ESG
  • Cybersecurity
  • Cybersecurity Resources
  • Managed Services
  • FCA
  • SEC
  • SEC Marketing Rule
  • Regulatory Deadlines
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Whaling Attacks: How to Respond When a C-Suite Executive is a Victim

Whaling will soon become one of the most prominent forms of cyberattacks, especially with firms that operate in remote and hybrid work environments. In this article, we describe: whaling attacks, their impact, how to prepare C-Suite executives to not fall victim to whaling attacks, and what to do if an executive is a victim.

Article
  • Cybersecurity
  • Cybersecurity Resources
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Significant Proposals for Cybersecurity Risk Rules in the Financial Industry

The SEC recently voted to propose new rules to address cybersecurity risk management for registered investment advisers and investment companies. These proposed rules address multiple concerns related to cybersecurity risks to investment advisors, clients of investment advisors, private funds, and investors of private funds.

Cyber Alert
  • Cybersecurity
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Cyber Insurance: Top Five Trends for 2022

The first blog post in a multi-part series on cybersecurity insurance produced by ACA Aponix’s Thought Leadership Team. The objective of this series is to provide clients with the highest quality insights and expertise on the changing and evolving cyber insurance marketplace.

Article
  • Cybersecurity
  • Cybersecurity Resources
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Solution Spotlight

Aponix Protect™ comprehensive cybersecurity and technology risk solution

Aponix Protect helps firms address evolving cyber risks and threats to ensure that their cybersecurity needs are covered year-round. This solution is available in three tiers, each one designed to provide firms with a flexible, robust, responsive, and cost-effective cybersecurity program.

Learn More

News

ACA Mirabella Celebrates Ninth Consecutive Year of Success at With Intelligence HFM European Services Awards

We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.

ACA Announces Expansion of the Executive Leadership Team with Key Appointments

ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.

Highlights From the 2024 ACA Conference

As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.

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Upcoming events

Wealth Management EDGE

Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.

Conference

2024 FINRA Annual Conference

Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.

Conference
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