ACA Aponix Cybersecurity Checklist


ACA Aponix

Publish Date




  • Cybersecurity
  • BCP

Cyber threats are increasing, and based on the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (previously OCIE) Risk Alert on November 19, 2020, regulators do not believe firms are doing enough for cyber and compliance. Weaknesses and deficiencies were found across maintenance of written policies, due diligence processes, third-party oversight, cybersecurity, client safeguards for privacy, and more.

Firms are under pressure to meet SEC expectations for Operational Resilience as well as their own internal and client expectations for cybersecurity and privacy.

Download and review the following cybersecurity safeguards and evaluate your firm’s cybersecurity program.


The checklist covers these cybersecurity topics:

  • Risk Assessment Program
  • Written Policies, Procedures, and Governance
  • Cybersecurity Training
  • Privacy Policies
  • Cyber Incident Response
  • Vendor Due Diligence
  • Network Testing and Vulnerability Assessments
  • Threat Intelligence
  • Operational Support

How We Help

ACA Aponix ProtectTM  is a complete cybersecurity and technology risk program designed to help firms address evolving cyber risks and threats to ensure that their cybersecurity needs are covered not just at one point in time, but throughout the entire year.  Schedule a call with ACA Aponix to discuss your concerns and how we can help you.

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