News & Analysis as of

Failure-to-File

Foster Garvey PC

Updates to the Corporate Transparency Act Are Coming in at a Rapid Fire – Treasury Issued a Huge Change in the Trajectory of the...

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If you feel punch-drunk from the rapid-fire updates to the Corporate Transparency Act (“CTA”), you are not alone. It is hard to keep up with the madness surrounding this law. Hoping not to stupefy readers, I will address...more

Foster Garvey PC

FinCEN Delivers Some Good News About Its Enforcement of the Corporate Transparency Act

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On Thursday, February 27, 2025, FinCEN announced that it will not issue any penalties or pursue enforcement action against reporting companies for the mere failure to meet the current filing deadlines. That news for many is...more

Bowditch & Dewey

Corporate Transparency Act – Yes, it’s Back, but no Fines or Penalties for Now

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On February 27, 2025, in a move to comply with the Treasury’s commitment to reducing regulatory burdens on businesses, FinCEN announced that it will not impose fines or penalties or take other enforcement actions against any...more

Seward & Kissel LLP

SEC Brings Charges for Failure to File Form D Notice in Connection with Exempt Securities Offerings under Regulation D

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On December 20, 2024, the Securities and Exchange Commission (“SEC”) announced charges against two private companies and a registered investment advisor for failure to file a Form D in connection with exempt offerings under...more

Mayer Brown

Relieved Taxpayers: US Tax Court Reaffirms that IRS Cannot Assess Failure-to-file Penalties

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Every parent remembers when their child learns the meaning of the word “no.” That moment often comes as a shock because, up until that moment, most children are models of obedience and unconditional trust. When children learn...more

Holland & Knight LLP

3 French Hens? No. SEC Presses Enforcement on Insider Trading, Shadow Trading, Reg FD

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The SEC did not take its foot off the pedal in fiscal year (FY) 2024 when it came to prosecuting insider trading. In the third installment of Season's Readings, we consider several recent actions in which the agency secured...more

Latham & Watkins LLP

Recent Developments for Directors - November 2024

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SEC Penalizes Director for Misleading D&O Questionnaire Response - The SEC recently brought an enforcement action against a director for causing violations of the proxy rules by failing to disclose a close personal...more

Rivkin Radler LLP

Unconstitutionally Excessive FBAR Penalties? It Depends

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You may recall that earlier this year the IRS launched an initiative to pursue 125,000 “high-income, high-wealth” taxpayers who have not filed taxes since 2017. These were cases where the IRS received third party information...more

Bowditch & Dewey

Death and Taxes – Deceased Taxpayers Still Waiting for Tax Refunds

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The Internal Revenue Service recently acknowledged systemic problems processing tax returns for deceased taxpayers who are due to receive a tax refund. The National Taxpayer Advocate (TAS) reported that the IRS experienced...more

Fisher Phillips

Auto Dealer Snapshot: If You Haven’t Been Filing EEO-1 Reports, It’s Time to Rethink Everything – And Fast

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If you’ve always thought your dealership couldn’t face any real trouble for not filing your EEO-1 reports, it’s time to think again. The feds just filed lawsuits against 15 employers across the country – including two...more

Fox Rothschild LLP

EEOC Cracks Down on Repeated Failure to File EEO-1 Component Reports as This Year's Deadline Looms

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As we previously reported, the deadline for employers to submit their EEO-1 Component 1 reports is June 4, 2024. The federal regulations requiring reporting of the EEO-1 Component data also provide a mechanism for the EEOC...more

Constangy, Brooks, Smith & Prophete, LLP

EEOC lowers the boom on EEO-1s

Employers who (allegedly) didn't file are being sued. The Equal Employment Opportunity Commission announced on Wednesday that it has filed suit against 15 employers in 11 states and in a variety of industries for failing to...more

Fisher Phillips

EEOC Sues Employers for Not Filing EEO-1 Reports: 5 Steps You Should Take Before June 4 Deadline to Avoid Similar Fate

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In an unprecedented action, federal workplace law officials just filed suit against 15 employers in 10 states alleging that they failed to file their mandatory EEO-1 reports and asking the court to order the employers to do...more

Allen Barron, Inc.

When is a US Taxpayer Required to Disclose Offshore Accounts on an FBAR and Form 8938

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When is a US Taxpayer required to disclose offshore accounts on an FBAR and IRS Form 8938? While many US taxpayers and expatriates have come to understand the requirements of the FinCEN Form 114 or FBAR, a surprising number...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

California Civil Rights Department’s Pay Data Enforcement Action Highlights Risks Related to Failures to File Required Reports

As the 2023 California pay data reporting cycle begins, a look at the California Civil Rights Department’s (CRD) recent pay data reporting enforcement actions provides a helpful reminder of the potential risk that exists for...more

Woods Rogers

Virginia Community Associations and the Corporate Transparency Act: New Federal Reporting Requirements Effective January 1, 2024

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Effective January 1, 2024, most Virginia community associations will be required to comply with the federal Corporate Transparency Act (“CTA”) and its regulations, unless a community association fits within one of the narrow...more

Fisher Phillips

Employers Have One Last Chance for Compliance: Be Sure Your EEO-1 Report is Filed by January 9

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Although EEO-1 reports were due on December 5, employers that have not submitted and certified their data to the Equal Employment Opportunity Commission (EEOC) still have a chance to comply. Covered employers must submit and...more

Allen Barron, Inc.

What Are the Statute of Limitations on an IRS and California Tax Audit?

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What are the statute of limitations on an IRS audit and a California tax audit? There is a time limit, known as the “statute of limitations“, when the IRS and/or California must complete an audit of your tax returns. It is...more

Fisher Phillips

Snapshot on Manufacturing Industry: 3 Things Employers Need to Know Before Filing Your EEO-1 Reports

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Welcome to this edition of the FP Snapshot Manufacturing Industry, where we take a quick snapshot look at recent significant workplace law developments with an emphasis on how they impact employers in the manufacturing...more

Gray Reed

FBAR Penalty Defenses and Techniques: The Wrong “Willful” Penalty Computation

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On September 8, 2023, the IRS issued a News Release suggesting that FBAR compliance investigations and audits would heat up in the near future.  For those unfamiliar with FBARs, federal law requires United States persons to...more

Ballard Spahr LLP

FinCEN Issues $15 Million Dollar Civil Penalty Against Shinhan Bank America for Alleged Failure to Implement and Maintain...

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On September 29, the Financial Crimes Enforcement Network (“FinCEN”) entered into a consent order with Shinhan Bank America (“SHBA”), which imposed a $15 million dollar civil penalty against SHBA for allegedly willfully...more

Morrison & Foerster LLP

Top 5 SEC Developments for July 2023

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This...more

McDermott Will & Emery

Weekly IRS Roundup June 5 – June 9, 2023

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Check out our summary of significant Internal Revenue Service (IRS) guidance and relevant tax matters for the week of June 5, 2023 – June 9, 2023...more

Freeman Law

IRS Lacks Statutory Authority to Assess Certain Form 5471 Penalties

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The recent Tax Court decision in Farhy demonstrates that clever and novel arguments can carry the day in complex tax litigation matters.  In that case, the taxpayer stipulated that he:  (1) had Form 5471 filing obligations...more

Fox Rothschild LLP

Tax Court Rules IRS Cannot Assess Certain International Reporting Penalties

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In a monumental opinion, the Tax Court recently held that the IRS lacks authority to assess penalties imposed by IRC § 6038(b)(1) or (2). In Fahry v. Commissioner, the taxpayer failed to file Forms 5471 reporting his interest...more

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