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

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Payment Fraud: Understanding the Risks and Protecting Yourself and Firm

Payment fraud threats are a major concern for financial services firms globally, with fraud trends reflecting a continued and sustained growth over the past few years. It has become essential that firms are proactive in predicting and assessing their exposure to these threats in order to mitigate the likelihood and impact of a payment fraud incident.

ComplianceAlpha Update
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M&A Due Diligence Challenges: Transition Management

Our M&A Due Diligence Challenges blog series addresses the changing nature of IT, cybersecurity, and data privacy and how investors can manage these risks and increase their chances of achieving a successful M&A transaction. Part 2 covers Transition Management and Day 1 / 100 days planning.

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7 Tips to Avoid Identity Theft During the 2020 Tax Season

Tax filing may be delayed until July 15, but it's best to file as soon as possible and be extra vigilant about tax scams. Here are our tips for staying diligent and resources to share with your employees and friends.

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Data Privacy Day 2020

Data Privacy Day is a great opportunity to evaluate your level of data privacy compliance for your firm, especially for CCPA. Join our webcast with Compliance Week to learn what you need to know about this new privacy regulation.

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SEC’s OCIE Releases Cybersecurity and Resiliency Observations from Examinations

SEC's OCIE released Cybersecurity and Resiliency Observations from its examinations of SEC-registered firms. Here's what you need to know.

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10 Cybersecurity Trends for 2020

As we begin 2020, here’s a list of 20 cybersecurity trends and predictions to prepare for in the coming year.

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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 Global Trading Analytics to Offer Clients Leading Transaction Cost Analysis Capabilities

ACA Group Acquires Global Trading Analytics to Offer Clients Leading Transaction Cost Analysis Capabilities

Five ACA Group Leaders Recognized Among the 2&20 Top 100 Most Influential People in the Service Provision for Alternative Investment Firms

Five ACA Group Leaders Recognized Among the 2&20 Top 100 Most Influential People in the Service Provision for Alternative Investment Firms

ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year

ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year

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Upcoming events

2025 ACA Conference

Join us in sunny Orlando, Florida for ACA's 2025 Conference, "Preparing Today, Protecting Tomorrow," where industry leaders and experts will converge to explore the evolving landscape of financial services.

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