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

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SEC Proposed Rule Includes New 48-Hour Cyber Incident Reporting Requirement

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.

Article
  • Cybersecurity
  • SEC
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SEC Reopens Select Comment Periods After Tech Glitch

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.

Compliance Alert
  • SEC
  • Compliance
  • Cybersecurity
  • ESG
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Phishing as a Service (PaaS): Cybercriminals Turned Service Providers

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.

Article
  • Cybersecurity
  • Cybersecurity Resources
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Penalizing Pirates: Hackers Push NullMixer Campaigns to Pilfer Data

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.

Cyber Alert
  • Cybersecurity
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Implications of the SEC's Draft Strategic Plan

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.

Compliance Alert
  • Compliance
  • Cybersecurity
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SEC Proposed Cybersecurity Risk Rules

The SEC's new proposed cyber rules affect investment advisers, clients of investment advisers, private funds, and investors of private funds.

Article
  • Cybersecurity
  • SEC
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.

News

ACA Group Announces Its Adoption of the CFA Institute Diversity, Equity, and Inclusion Code

ACA adopts the DEI Code, an action-oriented and principles-based framework through which to drive meaningful change concerning diversity, equity, and inclusion.

ACA’s ESG Data & Analytics Solution Certifies First Plant-Based ETF as Carbon Neutral

VegTech™ Invest’s Plant-Based Innovation & Climate ETF is recognized as the first plant-based innovation solution to meet ACA’s rigorous carbon neutrality certification

ACA’s Daryn Levesque Recognized as Nicsa NOVA Emerging Leader Award Recipient

Senior Principal Consultant from ACA Foreside’s ETP Distribution Operations team recognized for outstanding contribution to the development of the global asset management industry.

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