Make Sure
You're Compliant

Under the Sarbanes-Oxley Act all business records must be saved for at least seven years and then be destroyed, meeting all state and federal requirements. IT departments as well as company executives must find cost effective ways to destroy this data as mandated.
Securities fraud

Under SOX, anyone who attempts a scheme to defraud any other person by misrepresenting or making false claims or promises in connection with a purchase or sale of securities can be fined or imprisoned for up to 25 years.

Whistle blower Protection

Sarbanes-Oxley prohibits any acts of retaliation against employees who alert the government to possible SEC violations. The punishment for retaliation on a "whistle-blower" can include fines or imprisonment of up to 10 years, or both.

Altering Documents

The destruction, mutilation, alteration, concealment or falsification of documentation with the intent to obstruct or influence an investigation that is ongoing or being considered can result in fines or imprisonment of up to 20 , or both.

Data Destruction

The Sarbanes-Oxley Act addresses the destruction of business records and documents and turns intentional document destruction into a process that must be carefully monitored.


Health Insurance Portability and Accountability Act (HIPAA) allows fines up to $250,000 and 10 years in prison for each violation of patient health information privacy rules

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A corporate officer who does not comply or submits an inaccurate certification is subject to a fine up to $1 million and ten years in prison, even if done mistakenly.

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Identity Theft

Penalties increased by two years for anyone who commits an "aggravated identity theft" in order to commit another serious Federal offense ex: Social Security fraud, government theft

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Under the GLBA financial institutions financial institutions can be fined up to $100,000 for each violation. The officers and directors of the financial institution can be fined up to $10,000 for each violation

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