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

ACA Threat Intelligence Alert Blog Image

OCIE Risk Alert Warns of Increase in Ransomware Attacks

The SEC OCIE has issued a Risk Alert warning of an increase in the sophistication of ransomware attacks against SEC registrants with attackers using advanced phishing and other social engineering tactics to penetrate financial institution networks and install malware that limits company access to data until a ransom is paid.

Cyber Alert
  • Cybersecurity
ccpa privacy

Updates to the CCPA: Deadline is July 1

As we approach the California Consumer Privacy Act (CCPA) enforcement deadline you may be wondering what happens next. We have updated our CCPA FAQs with the most up-to-date information.

Article
  • Cybersecurity
  • Privacy
ACA Threat Intelligence Alert Blog Image

Widespread Telecom Outages Reported: Contingency Preparedness Recommended

On June 15, 2020 widespread voice and data outages were reported across the U.S with disruptions in service among major cell service carriers, internet service providers, social media platforms, gaming sites, streaming services, banking services, delivery services, and teleconferencing platforms.

Cyber Alert
  • Cybersecurity
cyber code

Countering COVID-19-related Fraud and Scams

Fraudsters are quick to exploit an opportunity and the coronavirus pandemic has led to attempts to take advantage of new working behaviors and hastily implemented government schemes. Learn about the heightened risk, as well as measures businesses can take to protect themselves and their employees.

Article
  • Cybersecurity
  • COVID-19
tprm vmos

Taking Control of Vendor Risk: A 6-Step Approach

Learn how ACA's 6-step approach can help you stay on top of the vendors your company uses and ensure that their cyber and technology risks are accounted for and managed.

Article
  • Cybersecurity
ACA Threat Intelligence Alert Blog Image

New Malware Attack Detected with Fake Pandemic Info from Johns Hopkins

Microsoft Security Intelligence has issued a security warning for a massive malware attack from emails about COVID-19 purportedly from Johns Hopkins Center. Learn more about this attack and how to defend your systems.

Cyber Alert
  • Cybersecurity
More insights
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.

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News

Highlights From the 2024 ACA Conference

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

Cybersecurity Benchmarking Survey Lists Top Concerns and Preparedness Among Respondents

Our annual survey in partnership with NSCP reveals that investment firms overlook AI as a cybersecurity risk and remain wary about SEC cybersecurity enforcement and compliance with new rules

ACA Group Launches Dedicated Practice Group Providing GRC Solutions for Wealth Managers

ACA Wealth sets a new standard in GRC support for wealth managers, providing unmatched expertise and comprehensive solutions to address evolving regulatory requirements.

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Upcoming events

Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night

Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.

Webcast
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