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.

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Our solutions

Risk Assessment Services and Regulatory Compliance 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 Enforcement Action for Incomplete Cyber Incident Disclosures

The SEC recently charged four companies for insufficient disclosures related to cyber incidents alleging they did not fully communicate the nature and impact of the cyber breach.

Cyber Alert
  • Cybersecurity
Balconies

Fundraising and Marketing with Confidence: A Key Considerations Checklist

Key considerations for fundraising, marketing, and launching with confidence.

Article
  • Compliance
  • FCA
  • SEC
  • ESG
  • Cybersecurity
  • AML and Financial Crime
  • RegTech
highway at night from overhead

Before You Launch: An Essential GRC Checklist

Essential GRC checklist for FCA and SEC compliance to help you launch your venture successfully

Article
  • Compliance
  • FCA
  • SEC
  • ESG
  • Cybersecurity
  • AML and Financial Crime
  • RegTech
  • ComplianceAlpha
abstract image with a lock and shield

Vulnerabilities Discovered in Common UNIX Printing System (CUPS) Can Enable DDoS Attacks

Recent vulnerabilities in CUPS service present significant risks, particularly for Distributed Denial of Service amplification attacks.

Cyber Alert
  • Cybersecurity
New York City from above at twilight

ACA Aponix Celebrates 10-Year Anniversary and National Cybersecurity Month

ACA Aponix Celebrates 10-Year Anniversary and National Cybersecurity Month. Reflecting on a decade of cybersecurity leadership, technological advancement, and industry recognition for financial services

News
  • ACA News
  • Cybersecurity
buildings and clouds from below

The ESAs Solidify Their Expectations Under DORA

The ESAs’ second wave of DORA policy products underscore the urgency for firms to ensure readiness.

Article
  • 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.

News

Financial Services Firms Lag in AI Governance and Compliance Readiness, Survey Reveals

The 2024 AI Benchmarking Survey by ACA Aponix and NSCP reveals that, despite enthusiasm for AI, financial firms lack formal AI governance frameworks, testing protocols, and third-party oversight.

ACA Named Best ETF Distributor for Consecutive Year at 2024 ETF Express US Awards

ACA Foreside has been awarded Best ETF Distributor at the 2024 ETF Express US Awards in New York City.

Former SEC Leader Robert Baker Joins ACA Group's Tech-Enabled Mock Examination Team

We are pleased to announce that Robert Baker, JD, CFA has joined ACA Group, bringing nearly two decades of experience from the Examination and Enforcement Division at the SEC.

Upcoming events

Beyond the CCO: Firmwide Benefits of Outsourcing GRC

We'll explain how the decision to outsource GRC services is no longer just a win for the Chief Compliance Officer – it offers a solution that can deliver substantial value across the entire C-suite and enterprise.

Webcast