News & Insights: Cyber Solutions

Ongoing Phishing Alert: Message Posing as FINRA Executives

We have received notice from multiple firms in receipt of phishing emails from the domain @gateway-finra.com that appear to be from a FINRA executive. The phishing campaigns are similar to past phishing campaigns FINRA has experienced, such as the campaign referenced in the Cybersecurity Alert that FINRA issued on April 4th, 2024.   

Illinois Passes New Law to Address AI in the Workplace

On August 9th, 2024, Illinois Governor, J.B. Pritzker signed a law into effect that addressed employers’ use of artificial intelligence (“AI”). Illinois joins New York City and Colorado in passing laws governing employers’ requirements when using AI to make decisions regarding employment.

SEC Charges BD and Affiliated IAs with Violating Whistleblower Protection Rule

What happened? On September 4, 2024, the SEC announced settled charges against three affiliated registrants, […]

SEC Charges Equiniti Trust for Cyber Failures 

On August 20th, 2024, the SEC announced that it settled charges against Equiniti Trust Company LLC (formerly American Stock & Trust Company, LLC) due to failing to ensure client securities and funds were protected from theft. Equiniti Trust Company LLC (“Equiniti”) incurred two cyber incidents from 2022 to 2023 that resulted in the loss of more than $6.6 million of client funds.

CrowdStrike Incident Reinforces Importance of Revisiting BCPs

Although Artificial Intelligence (AI) brings tremendous opportunity, it also presents significant risk—particularly to those with access to sensitive client information and personally identifiable information (PII). 

CrowdStrike Causes Globe Outages

CrowdStrike, a leading cybersecurity vendor, has caused a significant global IT outage affecting millions of computers using Microsoft Windows operating systems.

The SEC’s Updated Spring 2024 Regulatory Agenda

On July 8, the SEC issued an updated Spring 2024 regulatory agenda, which includes updated timing related to several key regulatory actions. This signals another busy few months for the SEC.

SEC Applies Broad Scope of Regulation in Cybersecurity-Related Charges Against R.R. Donnelley & Sons

On June 18th, 2024, the SEC announced that R.R. Donnelley & Sons (RRD) agreed to pay over $2.1 million to settle disclosure and internal control failure charges relating to cybersecurity incidents and alerts in late 2021.

Amendments to Regulation S-P Published to Federal Register

On June 3rd, 2024, the SEC’s adopted amendments to Regulation S-P were published to the Federal Register. The adopted amendments become effective within 60 days of publication, on August 2nd, 2024.

Department of Labor Creates Principles For Developers and Employers When Using AI in the Workplace

The Department of Labor (DOL) announced last week Principles for Developers and Employers when using AI in the workplace. These Principles, which are a directive from President Biden’s Oct. 30, 2023,  Executive Order on the Safe, Secure, and Trustworthy Development and Use of Artificial Intelligence, will “create a roadmap for developers and employers on how to harness AI technologies for their businesses while ensuring workers benefit from new opportunities created by AI and are protected from its potential harms.”

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