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

New "Coronavirus" Malware Targets Windows Users

Researchers have discovered multiple computer viruses and destructive software (malware) that use coronavirus and COVID-19 themes. These malware programs can be significantly damaging to systems and the data they maintain.

Cyber Alert
  • Cybersecurity
ACA Threat Intelligence Alert Blog Image

Security Risks with Zoom and Other Teleconferencing Tools

Security issues with video and audio conferencing tools, particularly Zoom, have increased during the pandemic. Learn what steps firms and individuals should take to protect themselves from this risk.

Cyber Alert
  • Cybersecurity
2020 NSCP Aponix Survey

Participate in our 2020 NSCP / ACA Cybersecurity Compliance Programs Survey

We invite you to participate in the 2020 NSCP / ACA Cybersecurity Programs Survey and learn what your peers are doing to build strong regulatory compliance programs. Participate in our survey for investment advisers and broker dealers.

Survey
  • Cybersecurity
8 Ways to Keep Kids Safe Online

Keeping Children Safe Online

While many students have thankfully returned to the classroom this academic year, so much of their lives, whether that be social media, education, or gaming, continues to reside online. To help keep your children safe online, our cyber experts have created a complimentary cyber safety guide for parents and caregivers.

Article
  • Cybersecurity
  • Cybersecurity Resources
PE Firms

Business and Risk Considerations for Portfolio Companies During the COVID-19 Pandemic

Operating partners within private markets need to consider the impact the COVID-19 pandemic will have on their investments, it is crucial that accurate information related to the preparedness of your portfolio companies is available in order to ensure timely decisions are being made. Read our best practices to accomplish this and they key risks to consider.

Article
  • Cybersecurity
  • Portfolio Company Risk Management
  • BCP
  • COVID-19
Aponix blog background

Cybersecurity is on the Regulators' Radar

ACA's Carlo di Florio recently shared his insights with FT Adviser on the need for firms to bolster their operational resilience in preparation for a potential disaster or other business disruption.

Article
  • 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.

Learn More

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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