SEC Examinations: What to Expect and How to Prepare
Hear from our experienced ACA Wealth experts who will discuss SEC examinations, including what to expect, what we’re seeing in the current landscape, and how to prepare.
Webcast
Aponix Protect™
Our 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 designed to provide firms with a flexible, robust, responsive, and cost-effective cybersecurity program.
Through our flexible multi-year program, we help you operate a strategic and right-sized cybersecurity program designed to:
- Keep your organization safe from ongoing cyber threats
- Meet evolving regulatory requirements
- Meet increasing investor expectations
Get access to ACA’s cyber, privacy and risk consultant base for testing, validation, and operational support for day-to-day cybersecurity coverage as well as the ability to quickly respond to future threats and regulatory changes.
Trusted Cybersecurity Advisor to Over 550+ Clients
ACA’s team of trusted cyber and risk experts can help you navigate the challenges and complexities of today’s ever-evolving risk environment
How we support you
- Dedicated, single point of contact
- Multi-year, flexible and scalable program
- Right-sized and tailored to your organization
- Coordinated, proactive, and always on
- Pragmatic recommendations and advice
- Regular checkpoints
- Meet regulatory requirements
- Keep your firm safe from evolving cyber threats
Aponix Protect Base
The solution includes a core service package that is tailored and right-sized to your organization’s unique needs and requirements. For additional flexibility, you can purchase bolt-on modules of features that you can pick and choose from.
Annual Activities
- Risk assessment
- Review and update security policies
- Staff training (including cyber awareness, phishing testing, and incident response tabletop exercises)
Advisory Activities
- Build and maintain multi-year cyber program roadmap
- Work with MSP to oversee/validate risk remediation activities
- News alerts
- Quarterly advisory conversation
- Monthly status updates
On Demand Support
- Investor and insurer DDQ assistance
- Regulatory exam support
- On-demand help and advice
Always-On Activities
- Threat and vulnerability monitoring
Additional Bolt-On Modules
- Program Build
- Targeted Assessments
- Testing & Validation
- A la Carte Features
- Contact our team to learn more about how we can help your firm protect and grow your business.
News
SEC Private Fund Unit Veteran Michele Foldenauer Joins ACA Group to Co-Lead Tech-Enabled Mock Examination Team
ACA Group is excited to announce that Michele Foldenauer has joined ACA Group as a Managing Director and a leader of our tech-enabled Mock Examination Team.
ACA Group Named a 2024 DataTech50 Provider
ACA Group acknowledged as one of the most innovative tech companies offering data management solutions in financial services
ACA Group Expands U.S. Compliance Team with Former SEC and FINRA Regulators, In-House CCOs, Seasoned Regulatory Consultants, and Attorneys
We are committed to meeting the needs of our clients. This year, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry. Learn more about our team.