ACA Aponix offers mock regulatory cyber exams that are designed to help prepare firms for SEC, FINRA, and NFA cybersecurity exams. Our team of experienced information security professionals, former regulators, and senior compliance professionals can review your firm’s information security program from a regulator’s perspective. By completing ACA’s mock cybersecurity exam, your firm will have a better understanding of potential deficiencies to address as well as how your information security program compares to those of your peers.
Conduct initial scope calls with your firm and evaluate a variety of materials to become familiar with your technology, governance, and risk structure. We'll deliver a document request list similar to those used by examiners.
Our team will visit your firm's office to review books and records, perform validation/testing, and conduct employee interviews.
Deliver an oral or written findings report, offer recommendations for enhancing cybersecurity and technology risk program, followed by feedback regarding employee interviews.
Based on recommendations, we can create or modify your Written Information Security Program and deliver training to employees. We'll provide template forms, logs, checklists, and exception reports for documenting cyber activities.
Our mock exam service helps firms: