Operational Resilience and Governance

Business continuity planning, incident response, and governance

The rise in cyber-attacks has highlighted the importance of developing robust policies, plans, and procedures to better protect your company from data breaches and efficiently recover from a cyber incident or significant business disruption. We can help your company implement a comprehensive information security program that enables you to identify and manage risks, foster a culture of security, and prepare for the unforeseen, but inevitable, incident with business continuity and incident response planning.

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Business Continuity Planning and Business Impact Analysis

In the event of a disaster such as a technological failure or cyber-attack, it’s critical to have a business continuity plan (BCP) that outlines the procedures your company must follow in order to continue operating and recover from the disruption. A business impact analysis (BIA) should also be part of your BCP, which evaluates the effects of a disruption on critical business functions.

How We Help

We provide business continuity planning development and implementation assistance which is designed to help your company address its operational and other risks in the event of a disruption, as well as meet upcoming regulatory obligations.

We can assist your company in developing its business continuity and transition plans. In addition, our advice and assistance can help you ensure that your company’s BCP meets the requirements of the SEC's proposed rule 206(4)-4, which proposes that SEC-registered investment advisers be required to adopt and implement written business continuity and transition plans.

Cyber Incident Response Planning

Is your company prepared for a cyber event? Incident response proficiency has become a necessary component of information security programs due to constant and evolving threats. In order to build and implement an effective incident response plan (IRP), a company must assess its overall risk posture and develop written policies and procedures to help protect its information technology environment. A properly designed IRP also provides guidance to employees and helps them understand their roles and responsibilities.
 

How We Help

We can help your company develop an IRP that is designed to mitigate losses in the event of a cybersecurity event. We will also provide guidance for your employees and help them understand their roles and responsibilities. Once your company has developed an IRP, we recommend testing its effectiveness through tabletop exercises.

Cybersecurity Tabletop Exercise

With data breaches on the rise and more privacy regulations going into effect, it’s more important than ever for companies to develop and test incident response plans in preparation for cyber events.

How We Help

Our tabletop incident response exercise is a discussion-based walkthrough of your company’s incident response plan. It allows you to test your plan with members of your team and assign roles for each scenario. The exercise is designed to uncover gaps and identify areas that your company can improve. The test can help you determine if your plan is reasonably developed and will be effective when faced with a real event.

WISP Development Assistance

A written information security program (WISP) documents the policies and controls that protect your sensitive data and critical systems, including the protection of personally identifiable information your company collects and stores.

How We Help

We can assist your company with developing a written information security program. Our service includes:

  • Developing WISP in accordance with industry standards and the appropriate regulatory requirements
  • Guidance on best practices
  • Identification of potential deficiencies based on our review of your current information systems and security policies, manuals, and procedures
  • Preparation of new documents or enhancing your existing documentation
Business Continuity Planning Checklist

Is your firm prepared to deal with the potential business disruptions caused by pandemics and other risks? Revisit your business continuity and disaster recovery planning with this checklist.

Download checklist

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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.

Latest insights

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Ransomware 101 Part 2: How to Prevent and Detect a Ransomware Attack

September 22, 2021

Our Ransomware 101 blog series addresses multiple aspects of the ransomware issue, including what you should know and what you should do to protect your firm, your clients, and your finances. In part one, we discussed the evolving and growing threat of ransomware. In this article (part two), we’ll provide a framework for what your organization can do to prevent and detect ransomware attacks.

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Apple® Issues Patch to Fix Spyware Vulnerability

September 15, 2021

A vulnerability has been discovered in Apple products that enables the installation of unauthorized software without the user's permission. The vulnerability is actively used to install Pegasus spyware on devices, allowing user activities to be surveilled by an external party.

Cyber Alert
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Microsoft® Reports “Zero-Day” Attacks Using Tainted Office® Files

September 09, 2021

Microsoft reports a previously unseen “zero-day” attack that uses Office files tainted with specially crafted Active X controls. Once opened, these controls create a vulnerability that enables perpetrators to perform remote code execution.

Cyber Alert
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China Passes Data Privacy Law That Affects Chinese and Foreign Companies

September 02, 2021

The Personal Information Protection Law of the People's Republic of China is scheduled to go into effect on November 1, 2021. This new law affects all companies and other entities, both inside and outside of China, engaged with personal information about individuals residing in China.

Cyber Alert
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2021 Spring Virtual Conference

ACA’s Spring 2021 Virtual Conference: Key Takeaways and Trends

August 31, 2021

ACA’s Spring 2021 Virtual Conference was an opportunity for the regulatory compliance, performance, and cybersecurity community to come together and discuss the many changes of the past year and what the future of GRC looks like moving forward.

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  • Compliance
  • ComplianceAlpha
  • ESG
  • GIPS Standards
  • Regulatory Technology
  • Cybersecurity
  • Performance
  • Privacy
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SEC Sanctions Registered Investment Advisers and Broker-Dealers for Cybersecurity Failures

August 31, 2021

The SEC announced that it sanctioned eight firms for failure to establish and implement cybersecurity policies and procedures. These failures resulted in multiple instances of criminal email account takeovers causing personally identifiable information from thousands of customers and clients to be exposed.

Cyber Alert
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News

ACA Group Acquires Catelas to Create Industry-first 360 Surveillance Offering

The acquisition of Catelas further enhances the holistic surveillance capabilities of ACA’s RegTech platform. Catelas’ patented technology automates the mapping of how people connect and form groups within a firm, isolates collusion risk, and detects high-risk behaviors.

ACA Group and the Investment Adviser Association Announce Strategic Partnership

ACA Group (ACA), a leading provider of governance, risk, and compliance (GRC) advisory services and technology solutions, today announced that it has entered into a strategic partnership with the Investment Adviser Association (IAA), a leading organization dedicated to advancing the interests of investment advisers.

ACA Group Continues to Enhance Compliance Team with New Hires: Former CCOs, Examiners, and General Counsels

ACA has recently welcomed several new members to our investment adviser practice, all of whom bring years of experience and skills to the team. These additions help us accommodate the developing regulatory landscape and meet our client’s specific needs.

Upcoming events

Senior Management Obligations under the SM&CR - 30 September 2021

The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).

Online Training