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
Latest insights
![digital_graphs_with_bars_and_dots.jpg](/sites/default/files/styles/width_280/public/2023-08/digital_graphs_with_bars_and_dots.jpg.webp?itok=2a3CjXme)
White Paper: Unveiling Industry Perspectives on the SEC’s Proposed Cyber Rule 206(4)-9
The public has weighed in on the SEC's proposed Rule 206(4)-9, which sets cybersecurity risk management expectations for investment firms. In this guide, we discuss the industry's reaction, exploring the main areas of concern for the Rule.
- Cybersecurity
- Compliance
- SEC
![abstract image with a lock and shield](/sites/default/files/styles/width_280/public/2022-03/Cyber%20alert%20blog%20default%20image.jpg.webp?itok=qGrHq_my)
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.
- Cybersecurity
![lock](/sites/default/files/styles/width_280/public/2023-04/cyber.png.webp?itok=Numrp8Tt)
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.
- Privacy
- Cybersecurity
![circuit board abstract](/sites/default/files/styles/width_280/public/2023-08/vantage.png.webp?itok=3DCsth7x)
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.
- Cybersecurity Resources
- Cybersecurity
- Portfolio Company Risk Management
![cyber outage](/sites/default/files/styles/width_280/public/2022-12/cyber_alert_image_0.png.webp?itok=ungyIqIf)
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.
- Compliance
- Cybersecurity
- Privacy
![meta person](/sites/default/files/styles/width_280/public/2023-06/vantage.png.webp?itok=i7HLLpxI)
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."
- Cybersecurity Resources
- Cybersecurity
- Portfolio Company Risk Management
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.