News & Analysis as of

Civil Monetary Penalty Risk Management

Mitchell, Williams, Selig, Gates & Woodyard,...

12(r)/Air Enforcement: U.S. Environmental Protection Agency and Henderson, Iowa Grain Facility Enter into Expedited Settlement...

The United States Environmental Protection Agency (“EPA”) and Hartland Co-op (“Heartland”) entered into an August 5th Expedited Settlement Agreement (“ESA”) addressing alleged violations of the Clean Air Act Risk Management...more

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for July 2024

SEC Loses in ALJ Case, DOL’s Latest Fiduciary Rule Put on Hold, and SEC Reconsiders AI and Custody Rule Proposals - Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments....more

Health Care Compliance Association (HCCA)

Due diligence and physician financial arrangements

Conducting due diligence for physician and provider compensation arrangements during a healthcare transaction is critical for the acquirer. Appropriate due diligence is necessary, regardless of whether the transaction is a...more

Mitchell, Williams, Selig, Gates & Woodyard,...

112(r)/Air Enforcement: U.S. Environmental Protection Agency and Downington Town, Pennsylvania, Water Authority Enter into...

The United States Environmental Protection Agency (“EPA”) and Downington Regional Water Authority (“DRWA”) entered into an Expedited Settlement Agreement (“ESA”) addressing alleged violations of Section 112(r) of the Clean...more

Bradley Arant Boult Cummings LLP

Blackbaud Shows SEC Is Serious On Cyber Incident Reporting

A recent significant enforcement action brought by the U.S. Securities and Exchange Commission against Blackbaud Inc. highlights the importance of public companies maintaining disclosure controls and procedures relating to...more

Bass, Berry & Sims PLC

Recap of Webinar: Billing, Coding, and Collecting for Infusion Services

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Shannon Wiley, with Carine Leslie and Katie Garmon of PYA, P.C., recently discussed the complexities associated with billing, coding, and collecting for infusion services as part of the Infusion...more

Foley & Lardner LLP

HIPAA Breaches and Compliance: Key Findings & Lessons Learned from OCR’s Reports to Congress

Foley & Lardner LLP on

The Office of Civil Rights (OCR) at the U.S. Department of Health and Human Services (HHS) recently submitted two annual reports to Congress setting forth a summary of complaints and breaches reported to the OCR during...more

Mitchell, Williams, Selig, Gates & Woodyard,...

112(r)/Clean Air Act Enforcement: U.S. Environmental Protection Agency and Middlesboro, Kentucky, Food Manufacturing Facility...

The United States Environmental Protection Agency (“EPA”) and Smithfield Packaged Meats Corporation (“Smithfield”) entered into an August 30th Consent Agreement (“CA”) addressing alleged violations of the regulations...more

Proskauer - Minding Your Business

“Unconscionable” Standard Need Not be Clean Cut: NY Appellate Court Reverses Lysol Price Gouging Case

One of the bellwether price gouging cases from the early days of the COVID-19 pandemic was recently reversed and remanded by New York’s First Judicial Department of the Appellate Division. New York Attorney General...more

Harris Beach PLLC

OIG Enforcement Summary: July 16, 2022 – July 31, 2022

Harris Beach PLLC on

The following is a summary of the federal Department of Health and Human Services’ Office of Inspector General (OIG) reports of fraud and abuse enforcement activity across the country. The enforcement actions reported are...more

ArentFox Schiff

Disclosing Patient Information in Responses to Online Reviews: Recent OCR Enforcement Action Is a Cautionary Tale

ArentFox Schiff on

The HHS Office for Civil Rights (OCR) recently imposed a $50,000 civil monetary penalty on a dental practice that disclosed patient-identifying information in response to a negative online review. The case is a reminder that...more

Mitchell, Williams, Selig, Gates & Woodyard,...

112(r)(7)/Air Enforcement: U.S. Environmental Protection Agency and El Dorado, Arkansas, Chemical Manufacturing Facility Enter...

The United States Environmental Protection Agency (“EPA”) and El Dorado Chemical Company (“EDCC”) entered into a July 22nd Expedited Settlement Agreement (“ESA”) addressing an alleged violation of the Clean Air Act. See...more

Baker Donelson

Cybersecurity: A Whistleblower's Paradise

Baker Donelson on

Cyber whistleblowing is the newest and hottest area of exposure for organizations. All government contractors and grant recipients must develop an understanding of the use of the False Claims Act (FCA) to address...more

Mitchell, Williams, Selig, Gates & Woodyard,...

112(r)(1)/Air Enforcement: U.S. Environmental Protection Agency and Arlington, Massachusetts, Arena/Ice Skating Rink Enter into...

The United States Environmental Protection Agency (“EPA”) and Town of Arlington, Massachusetts (“Arlington”), entered into a January 19th Expedited Settlement Agreement (“ESA”) addressing an alleged violation of Section...more

BCLP

Observations from a Review of FINRA’s 2021 Sanction Guidelines

BCLP on

Key Takeaways: ..FINRA released its most recent Sanctions Guideline, effective immediately, on October 20, 2021. A link to that document can be found here. ..The key change in the 2021 Sanctions Guideline is a new...more

Holland & Knight LLP

SEC Issues First-Ever Penalties for Deficient Cybersecurity Risk Controls

Holland & Knight LLP on

The U.S. Securities and Exchange Commission (SEC) has launched a stunning salvo across the bows of public companies with its announcement of civil monetary penalties and a cease-and-desist order against First American...more

Husch Blackwell LLP

New York’s DFS Publishes A Cyber Insurance Risk Framework

Husch Blackwell LLP on

Keypoint: New York’s Division of Financial Services (DFS) now requires Property and Casualty Insurers writing cyber insurance to comply with the Division’s Cyber Insurance Risk Framework to manage their risk. In her...more

Health Care Compliance Association (HCCA)

Citigroup pays $400 million and must overhaul internal controls

Compliance Today (January 2021) - Just a few months before Jane Fraser takes over as chief executive officer—the first woman to run a major Wall Street bank —Citigroup agreed to pay $400 million to settle an Office of the...more

The Volkov Law Group

Citigroup Fined $400 Million by Banking Regulators for Risk and Compliance Control Deficiencies

The Volkov Law Group on

Banking regulators, the Office of Comptroller of the Currency and the Federal Reserve, recently collected a $400 million civil penalty against Citigroup for long-standing deficiencies in its enterprise risk management,...more

Mitchell, Williams, Selig, Gates & Woodyard,...

112(r)/Air Enforcement: U.S. Environmental Protection Agency and Williamsport, Maryland, Grocery Store Owner Enter into Expedited...

The United States Environmental Protection Agency (“EPA”) and Save-A-Lot Food Stores, Ltd. (“Save-A-Lot”) entered into a November 2nd Expedited Penalty Action and Consent Agreement (“Consent Agreement”) addressing alleged...more

WilmerHale

CFTC Enforcement Division Issues Compliance Program Guidance

WilmerHale on

On September 10, 2020, the Commodity Futures Trading Commission’s (CFTC, or the Commission) Division of Enforcement (Division) director issued a memorandum to Division staff setting forth a framework for evaluating the...more

Thomas Fox - Compliance Evangelist

Cardinal Health FCPA Enforcement Action: High Risk Business Relationships

Cardinal Health Inc. (Cardinal) settled its Foreign Corrupt Practices Act (FCPA) matter with the Securities and Exchange Commission (SEC) last week. According to the SEC Press Release, Anita B. Bandy, Associate Director in...more

Mitchell, Williams, Selig, Gates & Woodyard,...

112r/Air Enforcement: U.S. Environmental Protection Agency and Newport, Oregon Seafood Processing Facility Enter into Consent...

The United States Environmental Protection Agency (“EPA”) and Pacific Surimi – Newport, LLC, (“Pacific”) entered into a January 16th Consent Agreement (“CA”) addressing alleged violations of Section 112(r) of the Clean Air...more

Foley & Lardner LLP

Orthopedic Practice Recapitalizations: Critical Legal Issues

Foley & Lardner LLP on

With the pace of orthopedic medical practice recapitalizations showing no signs of slowing, it is appropriate to review certain of the most critical legal issues that any buyer considering a transaction must take into...more

Dechert LLP

CFTC’s Enforcement Division Releases 2019 Annual Report

Dechert LLP on

The CFTC’s Division of Enforcement (Division) released its Annual Report on November 25, 2019, summarizing the Division’s activities over the past year.1 In FY 2019, the CFTC filed 69 enforcement actions, down from 83 in FY...more

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