Risk Assessments and Regulatory Compliance Testing Services

Technology and cloud assessments, penetration testing and vulnerability assessments, and cyber exams
  1. ACA Aponix
  2. Risk Assessments and Regulatory Compliance Testing Services

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.

CONNECT WITH US


CONNECT WITH US


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.

Threat Intelligence, Phishing Testing, and Monitoring

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

Penetration Testing & Vulnerability Assessments

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

 

Payment and Fraud Risk Assessment

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.

1 of

Latest insights

abstract blue shapes connected by dots of light

Fake Regulatory Emails Received from "IFMR"

Multiple firms have reported receiving emails from an organization posing as the International Fund Manager Regulator (IFMR). There is no legitimate international global regulatory authority for fund managers. This email is a phishing attempt.

Cyber Alert
  • Cybersecurity
  • Phishing
ACA Threat Intelligence Alert Blog Image

FINRA Warns of Fake Emails

The Financial Industry Regulatory Authority (FINRA) has issued an alert warning of reported phishing attempts using fake FINRA credentials. Per the notice, an ongoing email phishing campaign has been reported, in which the fake FINRA domain name of supports @finra-online.com is being used.

Cyber Alert
  • Cybersecurity
ACA Threat Intelligence Alert Blog Image

NFA Warns of Fake Emails

The NFA issued a notice to members warning of reported phishing attempts using fake NFA credentials. The phishing campaign includes emails using a fake domain that mimics the NFA’s domain name.

Cyber Alert
  • Cybersecurity
ACA Threat Intelligence Alert Blog Image

Microsoft® Exchange® Servers Suffer Multiple “Zero-Day” Attacks

Microsoft has reported that it has suffered four “zero-day” attacks targeting its on-premises email and calendaring Exchange Server products. The reported vulnerabilities apply to on-premises versions of Microsoft Exchange Server. Learn what steps to take to protect your firm.

Cyber Alert
  • Cybersecurity
Regulatory Horizon 2021

Five Reasons to Attend ACA Regulatory Horizon 2021 | Navigating Evolving Risks

There is just one week to go until Regulatory Horizon 2021 | Navigating Evolving Risks, our free-to-attend European based conference for financial services firms is running from 2-4 March. We outline five reasons why this event is worth adding to your calendar.

News
  • Compliance
  • Mirabella
  • Cybersecurity
abstract image with a lock and shield

Gas Pipeline Suffers Ransomware Attack

On February 18, the U.S. Department of Homeland Security’s Cybersecurity and Infrastructure Security Agency (CISA) issued an alert detailing a ransomware attack suffered by a natural gas compression facility. The ransomware attack led to a two-day controlled shutdown of operations, causing significant loss of productivity and revenue.

Cyber Alert
  • Cybersecurity
  • Portfolio Company Risk Management
More insights
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.

Learn More

News

ACA Mirabella Celebrates Ninth Consecutive Year of Success at With Intelligence HFM European Services Awards

We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.

ACA Announces Expansion of the Executive Leadership Team with Key Appointments

ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.

Highlights From the 2024 ACA Conference

As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.

More News

Upcoming events

Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night

Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.

Webcast
More Events