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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7 Cybersecurity Trends to Plan for in 2018

In the past year, it’s become apparent that cyber breaches are on the rise, and they are crippling businesses in their wake.

Cyber Alert
  • Cybersecurity
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5 Best Practices for Building an Effective Vulnerability Management Program

This is the first post in a series of cybersecurity tips and tricks from ACA Aponix's team of experienced consultants.

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Don’t Let Third Parties Be Your Downfall — How to Ensure Your Vendors are Protecting Your Assets

In the wake of the recent Equifax breach that potentially affected the personal data of more than 143 million Americans, Equifax is pointing the finger at one of its third-party vendors as the cause.

Cyber Alert
  • Cybersecurity
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What Investment Advisers Need to Know about Regulatory Cybersecurity

I recently joined ACA as Managing Director and Head of ACA Aponix’s Global Regulatory Cybersecurity Practice.

Cyber Alert
  • Cybersecurity
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7 Ways You Can Secure Your Network Endpoints

An endpoint is any device connected to your enterprise network — laptops, PCs, and printers, for example.

Cyber Alert
  • Cybersecurity
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Protecting Your Business from All Angles: Announcing ACA Aponix's 2017 Cybersecurity Awareness Month Theme

Cyber incidents can have devastating effects on business of all sizes.

Cyber Alert
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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.

News

Advisers’ Concerns of Off-Channel Communications Surpasses the Marketing Rule as Top Compliance Concern, Survey Reveals

Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey.

ACA Group Named Most Preferred Workplace by Marksmen/India Today 2024-2025

ACA Honored with Marksmen/India Today Award for Most Preferred Workplace for 2024-2025

Apex Group and ACA Form Strategic Partnership to Enhance Client Experience

Apex Group and ACA form strategic partnership to enhance client experience. The alliance enables clients to seamlessly identify a reputable service provider that will help support and protect their business.

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