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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Conference Recap: American Bar Association Cybersecurity and Data Privacy

Buyers across industries are facing significant changes to their cyber insurance policies due to these hardening market trends.

Report
  • Cybersecurity
  • Cybersecurity Resources
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Federal Cybersecurity Changes Continue

On March 9, 2022, the SEC voted 3-1 in favor of proposed amendments that enhance and standardize registrants’ disclosures concerning cyber risk management, strategy, governance, and incident reporting.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
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Cybersecurity And The Workplace: Part 1

This first post in the series, Cybersecurity in the Workplace series aims to breakdown the implications of current trends in the workplace beginning with the threat posed by employee burnout.

Article
  • Cybersecurity
  • Cybersecurity Resources
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U.S. Senate Passes Act Requiring Faster Reporting of Cyber Incidents

New cybersecurity legislation may be coming for critical infrastructure companies, as the United States Senate passed the Strengthening American Cybersecurity Act on March 1st, 2022.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
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Continued Developments in International Measures Against Russia

We explore how the continued regulatory developments from Western governments relating to Russia’s actions towards Ukraine affect financial firms.

Article
  • Cybersecurity
  • Cybersecurity Resources
  • AML and Financial Crime
  • Compliance
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Guidance on Impersonated Registered Domain Names

A summary of what to look for in a threatening domain and how to mitigate a substantiated threat

Article
  • Cybersecurity
  • Cybersecurity Resources
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