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Regulatory Oversight › Compliance › Settlement

Seward & Kissel LLP

CFTC’s Spring Cleaning: Let's Make a Deal (Quickly)

Seward & Kissel LLP on

The Commodity Futures Trading Commission (CFTC) has a lot on its plate—too many enforcement cases, not enough time, and a limited appetite for dragging out every compliance misstep. So, yesterday, at the International Futures...more

Health Care Compliance Association (HCCA)

Delayed Action on Misconduct Costs Firm $4M; FCA Whistleblower Flagged Earlier Application

Health Care Compliance Association (HCCA) on

Scientist and pharmaceutical researcher Andrew P. Mallon—who first reported to NIH and others in 2016 his suspicions that then-Athira Pharma CEO Leen Kawas falsified data in published papers—filed the whistleblower suit...more

Mintz - Health Care Viewpoints

EnforceMintz — Medicare Advantage and Part D Programs to Remain in the Enforcement Spotlight in 2025

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As government scrutiny and enforcement targeting the Medicare Advantage (Medicare Part C) program continued in 2024, the industry’s response to agency actions escalated. Last year also resulted in the first sizable Part D...more

Cozen O'Connor

Sports Betting Companies Pay $6.5 Million for Allegedly Conspiring to Violate D.C. Laws

Cozen O'Connor on

District of Columbia AG Brian Schwalb has settled with Intralot, Inc. and Veterans Services Corporation (VSC) to resolve an investigation into allegations that the companies deceived city officials in violation of the...more

Robinson+Cole Data Privacy + Security Insider

A Year in Privacy and Security: Privacy Violations, Large-Scale Data Breaches, and Big Fines and Settlements

Robinson+Cole Data Privacy + Security Insider on

2024 was a year chock-full of data breaches and privacy violations. Many new data privacy and cybersecurity regulations were introduced (and became effective), and regulators sent a strong message to businesses that privacy...more

K&L Gates LLP

The SEC Fines Stand-Alone Adviser for Off-Channel Communications

K&L Gates LLP on

Overview - On 3 April 2024, the US Securities and Exchange Commission (the SEC) announced the first settlement with a stand-alone registered investment adviser for, among other things, failures to maintain and preserve...more

Dorsey & Whitney LLP

HIPAA on the Horizon in the New Year: Important Lessons from an Active 2023 and Regulatory Initiatives to Watch for in 2024

Dorsey & Whitney LLP on

2023 marked 20 years since the first compliance deadline under the Health Insurance Portability and Accountability Act’s (“HIPAA”) privacy rule. Despite the two decades of experience with HIPAA, compliance continues to remain...more

Barnea Jaffa Lande & Co.

SEC vs. Philips: Expansion of Foreign Corrupt Practices Act

Barnea Jaffa Lande & Co. on

In May 2023, a complex SEC law enforcement proceeding was concluded against Philips, a public Dutch medtech company. The proceeding concluded with a settlement, whereby Philips agreed to pay a fine of more than USD 62 million...more

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