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 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

Will SM&CR Pass its own fit and proper test

AI in UK Financial Services: Unbelievable Potential is Not Without Compliance Risk

The latest joint discussion paper FS2/23 issued by the BoE, FCA, and PRA outlined that the existing UK regulatory frameworks encompass ways in which AI is being used.

Article
  • Compliance
  • Cybersecurity
curved glass building looking up at a blue sky

SEC Conducts Sweep of AI Use by Investment Advisers

As part of the SEC’s recent focus on AI, the Division of Examinations has initiated a sweep of investment advisers on how AI-based tools are being used by the firms.

Compliance Alert
  • Compliance
  • Cybersecurity
circuit board abstract

Three Eras of Cybersecurity Portfolio Oversight

Cybersecurity oversight of portfolio companies is continually evolving to meet new risks. Three eras can be roughly defined based on different approaches that have been adopted.

Article
  • Cybersecurity
blue smoke and digital

Thousands of Servers Exposed By Citrix Bleed Vulnerability

What is Citrix Bleed? Citrix Bleed (CVE-2023-4966) is a critical vulnerability affecting Citrix NetScaler ADC and NetScaler Gateway appliances. It is now being targeted by the Russian ransomware gang, LockBit.

Cyber Alert
  • Cybersecurity
circuit board abstract

13 Actions to Position Your Portfolio for Cyber Success

Based on our industry expertise and experience, we’ve put together 13 steps to form a programmatic approach to cybersecurity portfolio oversight.

Article
  • Cybersecurity
  • Cybersecurity Resources
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The New York State Department of Financial Services Expands Cybersecurity Rules

The NYDFS recently updated its regulations to add strict provisions on board oversight, ransomware payments, and event reporting.

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.

News

Celebrating Black History Month at ACA: African Americans and the Arts

ACA proudly joins in the celebration of Black History Month. This year, our spotlight shines on the theme "African Americans and the Arts," a rich tapestry of culture, expression, and resilience.

ACA Group Advancing Beyond Boundaries by Clinching RegTech100 for Innovation and Growth

ACA is thrilled to announce that it has been recognized once again as a RegTech100 company for 2024 by RegTech Analyst.

ACA Launches ESG Portfolio Monitoring for Private Markets

Introducing ACA Vantage for ESG; a straightforward and comprehensive solution to track and analyze ESG data, and support PE, private credit, and leveraged loan portfolios.

Upcoming events

2024 FINRA Hot Topics and Priorities

Join us when we discuss how the recently released 2024 examination priorities may impact you and your compliance program.

Webcast