Corporate & Financial Weekly Digest, Featuring Articles About FINRA Notices on Cybersecurity and Margin Requirements and No-Deal Brexit Preparations

BROKER-DEALER -

FINRA Issues Information Notice Regarding Suspicious Email Sent to Member Firms -

On February 13, the Financial Industry Regulatory Authority (FINRA) published an information notice alerting member firms about a suspicious email received by compliance personnel at a number of member firms. The email, sent by a purported BSA-AML compliance officer at a credit union, describes an attempted transfer of money from a firm client that the credit union has blocked due to anti-money laundering concerns. The email contains an attachment that, if opened, could potentially expose the member firm to a malicious virus or malware designed to obtain unauthorized access to such member firm’s computer network.

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Katten Muchin Rosenman LLP
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