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.

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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.

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.

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Latest insights

highway at night from overhead

Helping Private Equity Firms Stay Ahead of Risk

On October 6, 2020, ACA Aponix held a panel discussion about portfolio company risk management at our Cyber Week Virtual Conference. The session featured panelists from leading Private Equity (PE) firms who have worked with ACA to deploy strategic portfolio company risk management programs and included participants from over 200 firms.

Article
  • Cybersecurity
ACA Threat Intelligence Alert Blog Image

Vulnerability Reported in Microsoft Teams

A critical vulnerability affecting Microsoft® Teams® has been reported involving attackers sending a specially crafted chat message to Teams users. Once viewed, the message captures the recipient’s sign-on information and enables remote code execution on the user’s machine.

Cyber Alert
  • Cybersecurity
ACA Threat Intelligence Alert Blog Image

Zoom Scam Forces Closure of Australian Hedge Fund

Learn how hackers used a Zoom scam to execute a cyberattack that ultimately forced an Australian hedge fund to close after approving $8.7M in fraudulent invoices.

Cyber Alert
  • Cybersecurity
Compliance Alert

SEC Issues Risk Alert Identifying 6 Areas of Deficiencies in Investment Adviser Compliance Programs

The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on 11/19/20 providing an overview of notable compliance violations found during examinations relating to the Compliance Rule (Rule 206(4)-7 under the Investment Advisers Act of 1940). Here's what you need to know.

Compliance Alert
  • Compliance
  • BCP
  • Cybersecurity
ccpa privacy

California Approves CPRA, Which Amends CCPA

Learn more about the California Privacy Rights Act (CPRA), which amends the existing California Consumer Privacy Act (CCPA).

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

Rise in Attacks and Losses Linked to Office 365 Misconfiguration

Recent reports from the FBI’s Internet Crime Complaint Center indicate a staggering rise in the rate of business email compromise due to exploitation of Microsoft Office 365 and other cloud-based email services.

Cyber Alert
  • Cybersecurity
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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.

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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.

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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
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