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 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.

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

Update: Major SolarWinds Breach

Following our Cyber Alert earlier this week about the SolarWinds breach, many extraordinary steps have been taken by industry leaders to respond to what may be the most material global intrusion campaign of the past decade.

Cyber Alert
  • Cybersecurity
ACA Threat Intelligence Alert Blog Image

Major SolarWinds Breach Affects Government and Businesses Worldwide

A major breach has compromised confidential data at several U.S. government agencies, including the Treasury Department and the Department of Commerce exposing information from the executive branch, the military, and intelligence services. It has likewise compromised leading telecommunications firms, technology firms, and international governments.

Cyber Alert
  • Cybersecurity
highway at night from overhead

Helping Private Equity Firms Stay Ahead of Risk

On October 6, 2020, ACA Aponix held a panel discussion about portfolio company risk management at our Cyber Week Virtual Conference. The session featured panelists from leading Private Equity (PE) firms who have worked with ACA to deploy strategic portfolio company risk management programs and included participants from over 200 firms.

Article
  • Cybersecurity
ACA Threat Intelligence Alert Blog Image

Vulnerability Reported in Microsoft Teams

A critical vulnerability affecting Microsoft® Teams® has been reported involving attackers sending a specially crafted chat message to Teams users. Once viewed, the message captures the recipient’s sign-on information and enables remote code execution on the user’s machine.

Cyber Alert
  • Cybersecurity
ACA Threat Intelligence Alert Blog Image

Zoom Scam Forces Closure of Australian Hedge Fund

Learn how hackers used a Zoom scam to execute a cyberattack that ultimately forced an Australian hedge fund to close after approving $8.7M in fraudulent invoices.

Cyber Alert
  • Cybersecurity
Compliance Alert

SEC Issues Risk Alert Identifying 6 Areas of Deficiencies in Investment Adviser Compliance Programs

The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on 11/19/20 providing an overview of notable compliance violations found during examinations relating to the Compliance Rule (Rule 206(4)-7 under the Investment Advisers Act of 1940). Here's what you need to know.

Compliance Alert
  • Compliance
  • BCP
  • Cybersecurity
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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.

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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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