Strengthen Security While Navigating Complex Regulations
Regulatory pressure demands cyber readiness.
Cybersecurity, information security, and operational resilience are top priorities for regulators around the world, with expectations changing to keep pace with emerging technologies and cyber threats. Keeping pace with constant regulatory shifts makes compliance a complex challenge.
While managed service providers and cybersecurity technology can help support regulatory compliance, they often lack the deep regulatory experience and insights that help firms prepare and respond to regulatory examinations with confidence.
ACA thrives at the intersection of cybersecurity and broader compliance regulations. Our experts can help design, test, and validate your cybersecurity program to ensure you are adopting best practices. Most importantly, we provide the critical insights needed to make testing actionable and valuable.
Avoid regulatory scrutiny by proactively identifying gaps in your cybersecurity program. Understand requirements, identify and address vulnerabilities, and strengthen your regulatory readiness today. Contact us to get started.
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Cybersecurity Readiness for the 2026 SEC Exam Priorities
The SEC’s 2026 Examination Priorities place significant emphasis on cybersecurity, operational resiliency, and safeguards for customer information. Firms should be prepared for deeper, more targeted examinations that scrutinize the effectiveness of cybersecurity programs, governance, vendor oversight, and incident response capabilities.Â
Heightened Cybersecurity Focus Areas for 2026
The SEC will prioritize whether registrants are reasonably managing information security and operational risks, including the ability to protect investor data and prevent interruptions to mission-critical services.
The SEC will test preparedness for the 2026 Regulation S-P amendments, especially the requirement for a formal incident response program to address unauthorized access to customer information. Identity theft prevention programs will also be scrutinized under Regulation SID.
Exams will closely evaluate:
- Governance practices
- Access controls and account management
- Data loss prevention mechanisms
- Cyber incident response and recovery programs, including resilience against ransomware attacks
- Third-party/vendor oversight practices
The SEC’s Division of Examinations will evaluate how firms manage risks introduced by:
- Automated investment tools
- AI technologies
- Trading algorithms
- Polymorphic malware and other advanced cyber threats
Examiners will compare actual practices related to these emerging technologies and risks, with disclosures and supervision frameworks to confirm alignment.
Ensure Compliance with ACA
ACA supports firms in meeting evolving 2026 SEC expectations with a proactive, structured approach to cyber readiness that includes:Â
Cyber Program AssessmentsÂ
Benchmark your cybersecurity program against 2026 SEC priorities, regulatory expectations, and industry best practices. Â
Regulation S-P and SID-Readiness SupportÂ
Assess and enhance your incident response plan, customer information safeguarding procedures, and identity theft program.Â
Incident Response Testing and Tabletop ExercisesÂ
Validate your operational resiliency and response protocols through realistic simulations aligned to regulator expectations.Â
Governance, Oversight, and Vendor Risk Management ReviewÂ
Strengthen governance frameworks, ensure alignment between disclosures and practice, and address vulnerabilities in third-party relationshipsÂ
AI and Emerging Technology Risk EvaluationsÂ
Identify, quantify, and mitigate new cyber risks stemming from AI, automated tools, and advanced threat techniques.Â
Is Your Compliance Framework Built for What’s Next?
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Cybersecurity Mock Exam
Are Hidden Gaps Putting Your Cybersecurity Compliance at Risk?
Connect with a cyber expert to evaluate your regulatory readiness. We partner with you to ensure your cyber program can withstand regulatory scrutiny during an examination and to identify and address areas of concern.
Combine Real-World Insight with Regulator-Level Rigor
At ACA, we go beyond cyber. Our deep regulatory insight and cross-domain expertise empower clients to build holistic compliance strategies that align with both regulatory expectations and business goals. We take a layered approach, combining compliance technology, regulatory insight, enforcement trends, and governance to strengthen and future-proof cyber programs. Learn how to anticipate regulatory scrutiny and resolve gaps before they impact your firm.
A Holistic Approach to Complex Regulations
Unsurpassed Regulatory Knowledge
FAQs
How can ACA Aponix help my firm meet regulatory requirements?
ACA Aponix uses regulator-informed analysis to evaluate your cybersecurity and privacy programs. Their team identifies areas of non-compliance and provides actionable guidance to help firms align with regulations like the EU’s Digital Operational Resilience Act (DORA), GDPR, and Regulation S-P.
What regulations does ACA Aponix help firms comply with?
ACA Aponix supports compliance with key global regulations including Regulation S-P, DORA, and various state-level regulations, among others. Our expertise spans multiple jurisdictions and regulatory frameworks.
What makes ACA Aponix’s mock exams different from other providers?
ACA Aponix’s mock exams are led by professionals with real-world experience, including former regulators and in-house cybersecurity leaders. This ensures your program is assessed with the same rigor regulators would apply.
Why are mock cyber exams important for financial services firms?
Mock exams simulate regulatory scrutiny, helping firms identify vulnerabilities before they lead to compliance violations. They also demonstrate a proactive approach to regulators, which is increasingly expected in today’s enforcement landscape.
Who leads ACA Aponix’s mock exams?
Mock exams are conducted by a tenured team with diverse backgrounds including cybersecurity and privacy executives and compliance professionals. This ensures a well-rounded and credible assessment.
How does ACA Aponix’s regulatory experience benefit clients?
ACA’s deep understanding of regulatory expectations allows clients to assess programs as a regulator would, providing insights that help firms not only meet requirements, but also prepare for future enforcement trends.
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