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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OpenSSH Vulnerability Requires Immediate Action

A critical vulnerability has been discovered in OpenSSH, a widely used suite of secure networking utilities that provide encrypted communications over an unsecured network.

Cyber Alert
  • Cybersecurity
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White Paper: Building a Value-Generating Cybersecurity Portfolio Oversight Program

A guide to protecting your investments and growing your valuations.

Report
  • Cybersecurity
  • Cybersecurity Resources
  • Portfolio Company Risk Management
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SEC Action: $2.1 Million Fine for Insufficient Cybersecurity Controls

The SEC fined a business communication and marketing solutions firm for insufficient disclosure controls and procedures and internal accounting provisions relating to its cybersecurity practices.

Cyber Alert
  • Cybersecurity
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Six steps to mitigate the damage of a cybersecurity breach at a portfolio company

The risks faced by portfolio companies can often be mitigated by proper private equity oversight.

Article
  • Cybersecurity
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The ACA/NSCP AI Benchmarking Survey is Now Open

We partnered with NSCP to launch this inaugural survey to help you better understand how your peers are managing the risks and opportunities of AI.

Survey
  • Compliance
  • Cybersecurity
  • Artificial Intelligence (AI)
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Navigating Cybersecurity Regulatory Uncertainty

The 2024 Cybersecurity Benchmarking Survey uncovered regulatory focus on cybersecurity as a top concern within the financial sector.

Survey
  • 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

ACA Group Acquires Financial Compliance Firm, FINOP Consulting

Acquisition strengthens ACA’s outsourced financial operations offering for broker-dealers.

ACA Group Recognized on ESGFinTech100 Among Top Industry Innovators

We are thrilled to announce that ACA Group has earned a spot on the prestigious 2024 ESGFinTech100 list, joining the ranks of the world's most innovative ESG technology providers.

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.

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