Risk Assessments and Regulatory Compliance Testing Services

Technology and cloud assessments, penetration testing and vulnerability assessments, and cyber exams

We offer a variety of risk assessment services to help companies identify gaps in their cybersecurity and regulatory posture and identify technology-related risks. We can also conduct penetration testing and identify network vulnerabilities.



Our solutions

Risk Assessments and Testing

We can conduct an assessment across 700+ topics to identify technology-related risks and provide recommendations for improvement.

Mock Regulatory Cyber Exams

We can help your firm prepare for an SEC, NFA, or FINRA cyber exam by reviewing your information security program from a regulator’s perspective.

Cyber threats are constantly evolving, so it’s important to stay on top of new threats and address them as quickly as possible. We provide regulatory and cyber alerts, paste site and domain registration monitoring, and staff phishing testing to help protect your company from cyber attacks

We can help identify network vulnerabilities that could be exploited by a hacker and lead to a breach through vulnerability scanning or penetration testing. 


We can help your firm better understand payment flow and fraud risk mitigation opportunities with payment flow review, risk analysis, and reporting.

Microsoft Office 365 Security and Cloud Assessments

Companies are increasingly moving to cloud-based services such as Microsoft® Office 365®. Many companies do not take full advantage of the available security settings, which can dramatically impact the security and regulatory posture of your environment. This is also true of other cloud environments. Our assessment can help determine whether your company’s cloud environment is configured to protect user identities, enable compliance oversight obligations, and identify data loss. Based on our findings, we can assist your company with developing a practical action plan to address key risks.

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Latest insights

cyber outage

Three Key Updates on SEC Cybersecurity Regulations

The SEC issued three important updates regarding cybersecurity rule proposals. These updates represent a shift that normalizes standards and increases governance expectations.

Cyber Alert
  • Cybersecurity
cyber outage

CISO Checklist for First 100 Days of Cybersecurity Program Management

This checklist provides key steps for a new Chief Information Security Officer (CISO) to take to set a cybersecurity program up for success.

  • Cybersecurity
  • Cybersecurity Resources

Potential for Phishing Campaigns After Multiple Bank Collapses

The recent bank failures creates a unique social engineering opportunity for bad actors as clients of these banks are eager for information and updates, and more likely to fall victim to phishing attacks and email compromise.

Cyber Alert
  • Cybersecurity
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LastPass Provides Action Items in Response to Breach

The update serves to assure customers and business administrators of what LastPass will do differently in the future to avoid similar incidents.

Cyber Alert
  • Cybersecurity
SEC building

The SEC’s 2023 Exam Priorities

The SEC's Division of Examinations released its annual exam priorities, which focus on compliance, fraud prevention, risk monitoring, and informing policy.

Compliance Alert
  • Cybersecurity
  • SEC
  • Compliance
  • ESG
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Newly Discovered Phishing Campaigns Evade Anti-Malware Systems

Two new phishing tactics have successfully evaded anti-malware systems: PY#RATION and Blank Image Attacks.

Cyber Alert
  • Cybersecurity
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.


ACA Awarded Most Innovative Trade Surveillance Solution

ACA Group is proud to be recognized for most innovative trade surveillance solution at this year’s A-Team Innovation awards announced March 23, 2023.

ACA Group Launches ACA Signature to Meet Client Demand for Outsourced Compliance Programs

New scalable solution is curated to suit financial firms’ unique compliance needs and challenges

ACA Reflects on Black History Month Celebrations

Our Connected Black Professionals employee resource group continues to foster a positive and inclusive environment for all employees through initiatives that highlight outstanding achievements and celebrate black legacy and strength.

Upcoming events