News & Analysis as of

What to expect in 2014

2013 was a significant year for the UK regulatory landscape. National and international regulators continued to address the issues identified by the financial crisis in addition to responding to the LIBOR scandal with...more

DOJ Secures $200,000 Lobbying Disclosure Act Penalty

A default judgment secured in U.S. v. Biassi Business Services Inc., D.D.C. may be indicative of a more aggressive Lobbying Disclosure Act (LDA) enforcement policy, and the U.S. Attorney's Office is considering pursuing...more

Supreme Court Defers To Securities Commission On The Interpretation Of Limitation Periods In Secondary Proceedings

On December 5, 2013, the Supreme Court of Canada released its much-anticipated decision in McLean v. British Columbia (Securities Commission), providing clarity on the limitation period applicable to “secondary proceedings”...more

SEC Chairman Ready to Deploy the Agency's "Full Enforcement Arsenal"

SEC Chairman Mary Jo White again made her stance on aggressive enforcement clear during her recent speech to the Council of Institutional Investors in Chicago. Speaking to a room full of investors, Ms. White outlined the...more

Small businesses beware: IRS deploys "big data" to scrutinize cash transactions

In Brief - The IRS has signaled its intent to prosecute more small businesses for relatively low-value tax violations. - In doing so, the IRS has increased its reliance on data-driven analyses of the...more

Business Associate Definition Expanded and HHS Empowered to Impose New Civil Fines

Long-awaited omnibus regulations (Omnibus Rule) adopted earlier this year by the Department of Health and Human Services (HHS) Office for Civil Rights (OCR) made significant modifications impacting “business associates” to...more

REGULATORY: FERC: Barclays and JP Morgan Subject to Penalties and Disgorgement of Profits for Market Manipulation

Two recent Federal Energy Regulatory Commission ("FERC") orders will result in the imposition of civil penalties totaling nearly three quarters of a billion dollars on Barclays Bank PLC ("Barclays") and JP Morgan Ventures...more

FERC’s BP America Manipulation Show Cause And Proposed $28 Million Penalty Highlights The Interrelationship Between CFTC And FERC...

The Federal Energy Regulatory Commission’s (FERC) August 5, 2013, $28 million show cause order against BP America Inc. and other BP affiliates highlights the interrelationship between the Commodity Futures Trading Commission...more

D.C. Court of Appeals Sets New Precedent in Affirming FERC Enforcement Penalties Against a Seller Making False or Misleading...

The District of Columbia Circuit Court of Appeals, in Kourouma v. FERC, (Docket No. 11-1283, July 23, 2013), has set new precedent affirming FERC’s authority to enforce penalties for a seller’s violation of its Market...more

The Review Of The Australian Franchising Code Of Conduct - Key Recommendations & What They Could Mean For You

On 17 May 2013, The Department of Industry, Innovation, Climate Change, Science Research and Tertiary Education released its report (Report) following an independent review of the Franchising Code of Conduct (Franchising...more

Large Educational/Health System Targeted For HIPAA Enforcement

Idaho State University (ISU) was recently the target of an investigation and enforcement action for violations of the privacy and security rules of the Health Insurance Portability and Accountability Act (HIPAA)....more

CFPB uses enforcement powers in attempt to shut down debt relief company in Florida

This past Thursday, the CFPB announced that it filed a complaint against a Florida debt-relief company that misled consumers across the country. Following an investigation into American Debt Settlement Solutions, Inc. (ADSS)...more

Final HIPAA Regulations Impact Group Health Plans

The Health Insurance Portability and Accountability Act of 1996 (“HIPAA”) sets forth rules to protect the privacy and security of individuals’ health information that is held by “covered entities,” such as group health plans....more

SEC Targets Another Fund Board in Recent Enforcement Case

The U.S. Securities and Exchange Commission (“SEC”) recently issued an Order Instituting Proceedings (“Order”) against the administrator and compliance services provider, as well as current and former members of the boards of...more

Manufacturers Beware: DOE's Program of Compliance with Energy and Water Conservation Standards Comes to Life!

Unknown to many manufacturers of appliances, energy-consuming devices and water fixtures, there are a host of energy conservation standards that regulate the performance of these products. While the energy conservation...more

Waiting for the CFPB

My sources tell me that the Consumer Financial Protection Bureau (CFPB) will soon announce substantial monetary penalties and other administrative actions against a large nonbank. I guess it is inevitable that when such an...more

Highlights of the Omnibus HIPAA/HITECH Final Rule

On January 25, 2013, the Office of Civil Rights (OCR) of the Department of Health & Human Services (HHS) published the long-awaited omnibus final regulation governing health data privacy, security and enforcement (Omnibus...more

China’s Renewed Focus on Anti-Corruption Efforts Highlighted by a New Interpretation on Criminal Offense of Paying Bribes

In the three months since the Communist Party of China (the “CPC”) convened its 18th National Congress in November 2012, the CPC’s new leaders, including newly appointed CPC General Secretary and China’s incoming president Xi...more

Pending Bill Would Expand FTC Powers Over Drug Patent Settlements and Alter the Legal Test

Key Points: - This month several U.S. Senators introduced the Preserve Access to Affordable Generics Act. There is no similar bill pending in the U.S. House. - The Act revives legislative efforts to wipe out the...more

A Detailed Analysis of Changes to HIPAA and the Implications for Healthcare Providers and Others in the Healthcare Industry: HIPAA...

Changes to the HIPAA Enforcement Rule - Background: On October 30, 2009, HHS issued an interim final rule revising the Enforcement Rule to incorporate provisions of the HITECH Act. The NPRM then proposed a number of...more

What Do Employers Really Need to Know About the New HIPAA/HITECH Omnibus Final Rule?

The Health Insurance Portability and Accountability Act/Health Information Technology for Economic and Clinical Health Act Omnibus Rule, published in the Federal Register Jan. 25, makes many changes to the HIPAA Privacy Rule,...more

CMS Issues Final Physician Payment Sunshine Rule

In an action that will have broad implications for drug and device manufacturers, researchers, distributors, teaching hospitals and physicians, on February 1, the Centers for Medicare and Medicaid Services (CMS) publicly...more

Final Regulations Address Privacy and Security of Health Information

The U.S. Department of Health and Human Services (HHS) issued final regulations last week that modify many aspects of the privacy and security rules under the Health Insurance Portability and Accountability Act (HIPAA) and...more

Insider Trading Annual Review - 2012

In This Issue: Overview Of Insider Trading Law; 2012 Enforcement activity; Galleon Update; Expert Network Cases; What Does Cooperation Buy You?; Global Trading, Global Enforcement; Legislative Reform; 10b5-1 Plans: Not...more

EPA Releases 2012 Enforcement Results

Under the headline “EPA Enforcement in 2012 Protects Communities from Harmful Pollution,” the U.S. Environmental Protection Agency (EPA) on December 17, 2012, released its annual report of enforcement activities for the 2012...more

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