Risk Assessments and Regulatory Compliance Testing Services

Technology and cloud assessments, penetration testing and vulnerability assessments, and cyber exams

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 Assessment Services and Regulatory Compliance 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.

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

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

 

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

cyber code

The Microsoft® Exchange® Server Breach: What’s Next and What To Do

​​​​​​​When Microsoft announced patches for the four “zero-days” that were revealed on March 2, 2021, the full extent of the vulnerability was not known. Security experts continue to notify victims, coordinate remediation, and suggest remaining vigilant for “stage 2” of this attack, i.e., further exploitation of the backdoors left on the already-compromised servers.

Article
  • Cybersecurity
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Urgent Update for Apple iOS

Apple has issued urgent updates for its iPhone, iPad, and iWatch devices. According to Apple, these updates patch a discovered “cross site scripting” vulnerability that allows bad actors to inject malicious code into web pages. The code could be enabled when users access these pages using browsers on Apple devices. This vulnerability may already have been exploited.

Cyber Alert
  • Cybersecurity
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Fake Regulatory Emails Received from "IFMR"

Multiple firms have reported receiving emails from an organization posing as the International Fund Manager Regulator (IFMR). There is no legitimate international global regulatory authority for fund managers. This email is a phishing attempt.

Cyber Alert
  • Cybersecurity
  • Phishing
ACA Threat Intelligence Alert Blog Image

FINRA Warns of Fake Emails

The Financial Industry Regulatory Authority (FINRA) has issued an alert warning of reported phishing attempts using fake FINRA credentials. Per the notice, an ongoing email phishing campaign has been reported, in which the fake FINRA domain name of supports @finra-online.com is being used.

Cyber Alert
  • Cybersecurity
ACA Threat Intelligence Alert Blog Image

NFA Warns of Fake Emails

The NFA issued a notice to members warning of reported phishing attempts using fake NFA credentials. The phishing campaign includes emails using a fake domain that mimics the NFA’s domain name.

Cyber Alert
  • Cybersecurity
ACA Threat Intelligence Alert Blog Image

Microsoft® Exchange® Servers Suffer Multiple “Zero-Day” Attacks

Microsoft has reported that it has suffered four “zero-day” attacks targeting its on-premises email and calendaring Exchange Server products. The reported vulnerabilities apply to on-premises versions of Microsoft Exchange Server. Learn what steps to take to protect your firm.

Cyber Alert
  • Cybersecurity
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.

News

ACA Group Acquires Financial Compliance Firm, FINOP Consulting

Acquisition strengthens ACA’s outsourced financial operations offering for broker-dealers.

ACA Group Recognized on ESGFinTech100 Among Top Industry Innovators

We are thrilled to announce that ACA Group has earned a spot on the prestigious 2024 ESGFinTech100 list, joining the ranks of the world's most innovative ESG technology providers.

Financial Services Firms Lag in AI Governance and Compliance Readiness, Survey Reveals

The 2024 AI Benchmarking Survey by ACA Aponix and NSCP reveals that, despite enthusiasm for AI, financial firms lack formal AI governance frameworks, testing protocols, and third-party oversight.

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