Mock Regulatory
Cybersecurity
Exams

Financial regulators have listed cybersecurity as a priority for the last several years. As a result, investment advisers around the globe have been subjected to intense, detailed inspections of their cybersecurity policies and procedures, practices, and protections. ACA Aponix® can help make sure your firm is prepared.

MOCK SEC, NFA, AND FINRA CYBERSECURITY EXAMINATIONS

 

Our mock regulatory cyber exams help prepare investment adviser firms for SEC, NFA, and FINRA cybersecurity exams. Our experienced team of information security professionals and senior technologists will prepare your firm for an actual cyber inspection by reviewing your firm’s information security program from a regulator’s perspective.

OUR PROCESS

1. Preparation

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.

2. On-Site Inspection

Our team will visit your firm's office to review books and records, perform validation/testing, and conduct employee interviews. 

3. Reporting

Deliver an oral or written findings report, offer recommendations for enhancing cybersecurity and technology risk program, followed by feedback regarding employee interviews.

4. Implementation Assistance

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.
 
 

BENEFITS OF A MOCK CYBER EXAM

 

Our mock exam service helps firms:

  • prepare for an SEC, NFA, or FINRA cyber exam;
  • identify potential deficiencies to correct;
  • have a better understanding of how their cybersecurity program compares to the programs of their peers; and
  • be better positioned to comply with regulators' cybersecurity guidance.

Want to learn more about our products and services?

 

Contact Us