Cost of Noncompliance: More Than Just Fines
The Ins and Outs of Medical Treatment in New Jersey Workers' Compensation Claims
Podcast: California Employment News - Using Employee Time Attestations
Compliance Perspectives: The Right Kind of Wrong
In the dynamic world of financial regulation, the Commodity Futures Trading Commission (CFTC) has been actively addressing market manipulation with enforcement actions to ensure market integrity. The CFTC's recent settlement...more
SEC's and CFTC's Enforcement Actions Against Multiple Firms - In its continued pursuit of rooting out and penalizing broker-dealers and investment advisers for their failure to prevent unapproved communication methods, the...more
On 30 November 2023, the Treasury of the Australian Government released its consultation paper on a proposed Scams Code Framework (the Framework) which seeks to establish robust codes and targeted measures to reduce scam...more
The U.S. Food and Drug Administration (FDA) uses warning letters to notify manufacturers that they have violated the FDA’s regulations or federal law. Manufacturers that receive warning letters must respond promptly, and they...more
On November 14, 2023, the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2023. Below are some key takeaways for fund managers: The Commission brought 760 total enforcement actions in FY...more
In recent years, regulated industries, particularly broker dealer firms like Wells Fargo and Morgan Stanley, have faced increased scrutiny from regulatory bodies due to their lack of compliance in policing messaging apps. The...more
On July 26, 2023, the Securities and Exchange Commission (SEC) implemented new cybersecurity rules to require disclosure of material cybersecurity incidents within four business days, with limited exceptions. Additionally,...more
The United States Environmental Protection Agency (“EPA”) issued a final rule in the July 21st Federal Register that removes the emergency affirmative defense provisions found in the regulations for state and federal Title V...more
Each month, the Michigan Cannabis Regulatory Agency provides Disciplinary Action Reports (DAR) detailing the formal administrative complaints and disciplinary actions against adult-use and medical marihuana licensees. The...more
During speeches earlier this month, Deputy Attorney General Lisa Monaco and Assistant Attorney General for the Criminal Division Kenneth A. Polite, Jr. announced significant changes to the way DOJ evaluates corporate...more
The California Office of Attorney General (OAG) is responsible for enforcing the California Consumer Privacy Act (CCPA) and began sending notifications of alleged non-compliance to companies on July 1, 2020. In June 2021,...more
CMS released guidance for surveyors that provides leeway in surveying for compliance with the November 2021 interim final rule with comment that imposed a vaccination mandate for most staff at certain covered provider types....more
Public companies in the United States are subject to a laundry list of federal laws and regulations. The U.S. Securities and Exchange Commission (SEC) is responsible for enforcing these laws and regulations, and it routinely...more
On August 2, in its first ever cryptocurrency enforcement action, the New York State Department of Financial Services ("NYDFS") announced it had imposed a $30 million fine on Robinhood Crypto, LLC ("RHC") for failures in its...more
We previously discussed the requirements of the Hospital Price Transparency Rule (“Rule”) on health care providers and health plans, as well as CMS’s proposal to increase penalties for a hospital’s failure to comply with the...more
The Arkansas Department of Energy and Environment – Division of Environmental Quality (“DEQ”) and the City of Hoxie (“Hoxie”) entered into a March 25th Consent Administrative Order (“CAO”) addressing alleged violations of a...more
The Internal Revenue Service (IRS) has scored another significant victory in its rapidly increasing virtual currency tax enforcement efforts. On May 5, 2021, the US District Court for the Northern District of California...more
On April 28, 2021, the US Food and Drug Administration (FDA) issued the first-ever Notice of Noncompliance after the drug maker did not comply with its legal reporting obligations for clinical trials upon earlier receipt of a...more
On April 27, 2021, the U.S. Food and Drug Administration (FDA) issued its first Notice of Noncompliance to a company for failing to submit required clinical trial summary results information to ClinicalTrials.gov. In...more
It is worthwhile for plant managers and environmental managers to pay attention to the types of cases involving environmental violations which are selected by regulators and prosecutors for criminal enforcement. That is...more
Our Virtual Regional Healthcare Compliance Conferences provide updates on the latest news in regulatory requirement, compliance enforcement, and strategies to develop effective compliance programs. Watch, listen, and ask...more
This newsletter was updated April 17, 2020 to include recent guidance from California concerning regulatory compliance requirements. In the original newsletter below, we discussed two tools that may help Environmental,...more
On March 31, 2020, the Arizona Department of Environmental Quality (ADEQ) issued a Memorandum of Compliance and Enforcement Implementation During COVID-19. This memo of compliance is consistent with the March 26, 2020 United...more
This newsletter was updated April 13. In the original newsletter below, we discussed two tools that may help Environmental, Health, and Safety (EHS) management respond to non-compliance arising from COVID-19: Agency...more
On Thursday, March 26, the United States Environmental Protection Agency (“EPA”) announced and issued a Memo establishing an agency-wide temporary enforcement policy suspending or staying a broad array of enforcement efforts...more