Join us for part four of our live webcast series about creating a best-in-class compliance program.
Operational Resilience 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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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.
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.
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.
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
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.
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.
According to the SEC proposed Rule 206(4)-9, RIAs and private funds must now submit a confidential report to the SEC within 48 hours from when a “significant cyber incident” is discovered.
The SEC reopened the public comment periods for certain proposed rules due to a technological error earlier this year. We share which proposed rules were affected and should be checked for accurate comment submission.
Cybercriminals have become service providers offering Phishing as a Service (PaaS) on the dark web, with products such as one-time phishing kits or subscription offers to help others launch multiple attacks for a monthly fee.
- Cybersecurity Resources
A recent press release from Kaspersky warns of a malware that can steal users' personal information. We discuss how it works and our guidance for preventing an attack.
While the SEC’s draft Strategic Plan does not appear to indicate a directional shift, it does nod toward more aggressive enforcement. Learn how this affects your firm.
The SEC's new proposed cyber rules affect investment advisers, clients of investment advisers, private funds, and investors of private funds.
ACA is proud to celebrate Hispanic Heritage Month from September 15 - October 15 alongside our Hispanic/Latinx Organization for Leadership and Advancement (HOLA) Employee Resource Group (ERG)!
ACA Group Enhances Surveillance Capabilities for Off-Channel Communications to Navigate Rising Regulatory Scrutiny
New partnership with LeapXpert will help financial firms surveil multiple messaging channels to meet client expectations while ensuring regulatory compliance.
The 2023 Investment Management Compliance Testing Survey results reveal marketing is still the top compliance concern. Cybersecurity and electronic communications follow closely behind.
Private Fund Reform Rule Deep Dive - Restricted Activities and Limitations to Preferential Treatment
This webcast will break down the restricted activities and limitations to preferential treatment established by the SEC's Private Fund Reform Rule.
Learn how technology can help you streamline the Best Execution review process and meet regulatory requirements.