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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Active Risk Alert: Firms Receiving Phishing Attempts from Compromised Internal Emails

On August 11th, ACA confirmed three financial services firms are experiencing phishing attacks using identical phishing emails and tactics. Firms should be on heightened alert.

Cyber Alert
  • Cybersecurity
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Zoom’s New Terms of Service Create Data Privacy Concerns

Zoom's updated Terms of Service introduce changes allowing broader use of customer data for its AI programs, raising privacy concerns due to vague language and limited opt-out options.

Cyber Alert
  • Privacy
  • Cybersecurity
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Myths About Cybersecurity Portfolio Oversight: Myth #4

In part 4 of our series we tackle the myth that cyber oversight is (only) about downside risk management.

Article
  • Cybersecurity Resources
  • Cybersecurity
  • Portfolio Company Risk Management
cyber outage

SEC Proposes Rule to Limit Conflicts of Interest in AI-Based Investor Engagement Tools

The SEC proposed two new rules to put guardrails around the use of predictive data analytics by broker-dealers and investment advisers. The goal is to limit the use of technology in ways that favor financial firms’ interests.

Cyber Alert
  • Compliance
  • Cybersecurity
  • Privacy
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Myths About Cybersecurity Portfolio Oversight: Myth #3

In part 3 of our series we tackle the myth that "investors don’t care and/or are satisfied with our current approach to cybersecurity."

Article
  • Cybersecurity Resources
  • Cybersecurity
  • Portfolio Company Risk Management
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Merger and Acquisition Platform Datasite Named as a Victim of MOVEit Breach

Datasite, which provides a data sharing platform and encrypted data rooms for potential merger and acquisition partners, is the latest victim of the MOVEit Breach.

Cyber Alert
  • 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

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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