Penalties

News & Analysis as of

OCR Announces First HIPAA Enforcement Action against a Business Associate

The U.S. Department of Health and Human Services Office for Civil Rights (OCR) announced an agreement with Catholic Health Services of the Archdiocese of Philadelphia (CHCS), settling allegations that CHCS violated the Health...more

European Parliament Passes Landmark Data Protection Regulation

On April 14, 2016, the European Parliament passed the General Data Protection Regulation (GDPR) and its companion, Data Protection Directive for Police and Criminal Justice Authorities. The GDPR is a comprehensive regulation...more

U.S. Customs Aims to Increase Enforcement of the Jones Act

In what could foretell a significant increase in the enforcement of the coastwise trade provisions of the Jones Act, U.S. Customs and Border Protection (Customs) announced on July 18 the creation of the National Jones Act...more

Second UK Deferred Prosecution Agreement Has Implications for US Corporates

“Innocent” US parent pays £6.25 million for UK subsidiary’s secret bribery. On July 11, the UK’s Serious Fraud Office (SFO) announced that it had secured its second deferred prosecution agreement (DPA). The first DPA was...more

The Scope Of SEC Defendants' Jury Trial Right: Part 3

This is the third of four articles examining the scope of the Seventh Amendment jury trial right for civil defendants in U.S. Securities and Exchange Commission enforcement actions. Our first article explained why the Seventh...more

SEC – Phoenix Settle Accounting Errors Action

Financial reporting cases are a key focus of SEC enforcement. In some instances the actions result from fraudulent schemes such as those where executives falsify the numbers to obtain a bonus. In other instances the actions...more

Health Law Pulse - July 2016

On June 14, 2016, a federal district court in the Northern District of Illinois denied a request from the Federal Trade Commission (FTC) for a preliminary injunction to enjoin the pending merger of Advocate Health Care...more

Liability for breach of obligations

Resolution of the Plenum of the Supreme Court of the Russian Federation No. 7 dated 24 March 2016 'On courts applying certain provisions of the Civil Code of the Russian Federation concerning liability for a breach of...more

IRS Proposes Restrictions on Employer Opt-Out Payments for ACA Coverage Waivers

In early July the IRS issued proposed regulations addressing the effect that employer payments to employees who waive employer-sponsored health coverage, known as Opt-Out Payments, have on determining whether an ACA-covered...more

The Administrative Procedure Act - Challenging FBAR Penalties

Over the past 10 years, thousands of U.S. taxpayers with a wide variety of circumstances have been forced to pay extraordinarily high penalties for failure to disclose foreign bank accounts. For years, tax experts said that...more

International Arbitration Newsletter - July 2016

Privy Council clarifies the nature of arbitration clauses, but uncertainties about the clauses’ effect still remain. “Non-exclusive” arbitration clauses provide that disputes “may” be referred to arbitration (rather than...more

Inflation Matters: EPA Civil Penalty Authority Receives a Dramatic Boost

A little-publicized section of the federal Bipartisan Budget Act of 2015 has led to the U.S. Environmental Protection Agency (EPA) promulgating new interim regulations that increase by unprecedented amounts the civil...more

San Diego’s New Sick Leave Ordinance Is In Effect, And Fixes Are Imminent

On Monday, July 11, the San Diego City Council certified the Minimum Wage and Sick Leave Ordinance passed by voters last month and also passed amendments to the Ordinance. We published a summary of the law when it was passed...more

Proposed Section 409A Regulations Facilitate Common Pay Practices

The Internal Revenue Service (IRS) has proposed a number of updates to current regulations governing nonqualified deferred compensation under Section 409A of the Internal Revenue Code of 1986, as amended. The proposed updates...more

SEC Requires Admissions To Settle Another Blue Sheet Case

Blue sheets are an important tool for the SEC. Named for the fact that the form at one time was printed on blue paper, the information request requires the immediate production of key information regarding a securities...more

What Can Be Done With Returned or Uncashed Distribution Checks?

Question: I have seen various instances where receivers have requested that funds from returned or uncashed checks from a distribution be redistributed to other claimants or used to pay administrative fees or costs. Is this...more

Protecting Whistleblowers in the UK – Is the Law Sufficient?

With instances of whistleblowing hitting the press on an ever-increasing basis, does UK law do enough to protect employees who blow the whistle on their employer’s wrongdoing? According to a new report published by the...more

Federal Environmental Civil Penalties Set to Increase Dramatically

EPA is increasing civil penalties for all statutes it administers that call for the assessment of civil penalties. These increases are not recommendations or proposed statutory amendments, but are the result of perhaps the...more

Additional Regulatory Hurdles for Private Equity Advisers

The private equity industry should carefully consider the implications of a recent Securities and Exchange Commission ("SEC") enforcement action. In it, the SEC, for the first time, sanctioned an SEC-registered private equity...more

OSHA and MSHA Increase Penalties for Workplace Safety Violations

On July 1, 2016, Occupational Safety and Health Administration (OSHA) increased the maximum penalties under the Occupational Safety and Health Act by about 78 percent to account for inflation. Acting under authority conferred...more

Marketplace Subsidy Notices – What Employers Should Know

As promised by the Centers for Medicare & Medicaid Services (CMS) in late-2015, the Federally-Facilitated Marketplaces (FFMs) have started sending notices informing employers that employees have enrolled in a FFM and were...more

Business Associate Settles HIPAA Investigation for $650,000

The U.S. Office for Civil Rights (OCR), the agency responsible for enforcing the HIPAA Privacy and Security rules, has just sent a strong message that business associates are not immune from scrutiny. On June 24, 2016, in a...more

China Accelerates the Establishment of Social Credit System

The State Council published the Guiding Opinions on Accelerating Social Credit System Establishment by Further Developing Joint Incentives for Honest Market Participants and Joint Penalties for Dishonest Market Participants,...more

EEOC Increases Penalty for Violating Notice Posting Requirements by 150 Percent

The EEOC is increasing the penalty for failure to post the required workplace notices under Title VII, the ADA, and GINA by 150 percent. This increase means the maximum penalty for notice violations will increase to $525 per...more

U.S. Fish and Wildlife Service Increases Civil Penalties

The U.S. Fish and Wildlife Service (Service) published an interim rule (pdf) revising its civil procedure regulations for the assessment of civil penalties for violations of various laws and regulations within the Service’s...more

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