CCT Enforcement and Penalties 4

Question 1

The concept of 'disgorgement' as an enforcement remedy requires a violator to:

Accepted Answer

Return all ill-gotten gains or profits from the wrongful conduct

Answer

Disgorgement is an equitable remedy that compels a wrongdoer to give up profits obtained through illegal activity, preventing unjust enrichment.

Question 2

Under HIPAA, what is the maximum annual penalty for violations in the 'willful neglect - not corrected' category?

Accepted Answer

$1,900,000

Answer

HIPAA's penalty tier for willful neglect violations not corrected within 30 days carries a maximum of $1,900,000 per violation category per year.

Question 3

What is the primary purpose of an independent compliance monitor appointed as part of a settlement agreement?

Accepted Answer

To oversee and report on the company's implementation of remedial compliance measures

Answer

An independent monitor reviews the company's compliance program implementation and reports findings to the government, ensuring promised reforms actually occur.

Question 4

Under the Clean Air Act, what daily maximum civil penalty can EPA impose on a company for violations?

Accepted Answer

$100,000 per day

Answer

EPA can seek civil penalties up to $100,000 per day for Clean Air Act violations, adjusted for inflation under the Civil Penalties Inflation Adjustment Act.

Question 5

In the context of FTC enforcement, what is an 'administrative complaint'?

Accepted Answer

A formal document initiating an FTC adjudicative proceeding against a company

Answer

An FTC administrative complaint formally charges a company with a violation and initiates an administrative law proceeding before an Administrative Law Judge.

(CCT) Certified Compliance Technician Practice Test

(CCT) Certified Compliance Technician Practice Test

CCT Enforcement and Penalties 4