Authoritative Data Resource
Regulatory Compliance Research Hub
Primary-source compliance data covering HIPAA, SOX, GDPR, OSHA, SEC/FINRA, and FDA/FSMA. Every figure sourced to its governing statute or agency enforcement record. Last updated: 2026-04-10.
Key Regulatory Penalty Data — 2025–2026
HIPAA civil money penalties are tiered by culpability under 45 CFR 160.404: unknowing violations start at $141 per violation; willful neglect not corrected reaches $2,134,831 per violation category. Annual maximum per category is $2,134,831. Source: HHS OCR Civil Money Penalties.
OSHA serious violation fines as of January 2025: $16,550 per serious violation; willful or repeated violations reach $165,514. Source: OSHA Penalty Policy (osha.gov).
SOX officer certification penalties under 18 U.S.C. §1350: knowingly false certifications — up to $1,000,000 fine and 10 years imprisonment; willfully false — up to $5,000,000 fine and 25 years imprisonment. Source: 18 U.S.C. §1350.
GDPR Article 83 Tier 1 fines: up to €10,000,000 or 2% of global annual turnover, whichever is higher, for controller/processor obligation breaches. Tier 2: up to €20,000,000 or 4% of turnover for core principle violations. Source: GDPR Article 83.
SEC civil penalty tiers (2025 inflation-adjusted under 17 CFR 201.1001): Tier 1 — $10,907 per violation (individuals); Tier 2 — $109,074 (fraud/harm); Tier 3 — $218,148 (substantial harm). Entity maximums are higher. Source: SEC Enforcement Actions, 15 U.S.C. §78u(d)(3).
Platform Intelligence Data
Framework Coverage & Penalty Ranges
| Framework | Penalty Range | Governing Authority | Primary Source |
|---|---|---|---|
| HIPAA | $141 – $2,134,831/violation | HHS Office for Civil Rights | hhs.gov/hipaa |
| OSHA | $16,550 – $165,514/violation | DOL OSHA | osha.gov/penalties |
| SOX | Up to $5M + 25 yrs (criminal) | SEC / DOJ | 18 U.S.C. §1350 |
| GDPR | €10M/2% – €20M/4% turnover | EU Data Protection Authorities | GDPR Article 83 |
| SEC/FINRA | $10,907 – $218,148+/violation | SEC, FINRA | SEC Enforcement |
| FDA/FSMA | Up to $1M/day (injunction) | FDA CFSAN / ORA | FDA FSMA |
Enforcement Case Database (Selected)
Real enforcement actions from the ComplianceStack database, sourced from agency press releases and public court records.
View the full penalty database: HIPAA · OSHA · GDPR · SOX · SEC/FINRA
Interactive Compliance Tools
Frequently Asked Compliance Questions
What are the HIPAA penalty tiers for 2025–2026?
HIPAA civil money penalties follow four tiers based on culpability under 45 CFR 160.404. Tier 1 (unknowing): $141–$71,162 per violation. Tier 2 (reasonable cause): $1,424–$71,162. Tier 3 (willful neglect, corrected): $14,242–$71,162. Tier 4 (willful neglect, uncorrected): $71,162–$2,134,831. Annual category maximum: $2,134,831. Source: HIPAA Penalty Tiers.
What are current OSHA violation fines in 2025–2026?
Serious violations: $16,550 per violation. Willful or repeated: $16,550–$165,514. Failure to abate: $16,550/day after deadline. Adjusted annually per the Federal Civil Penalties Inflation Adjustment Act (29 CFR 1903.15). Source: OSHA Penalty Reference.
What are the SOX penalties for corporate officers?
Under 18 U.S.C. §1350 (SOX Section 906): Knowingly false certifications — up to $1M fine, 10 years imprisonment. Willfully false certifications — up to $5M fine, 20 years imprisonment. SOX Section 32 (willful violations) — up to $5M fine, 25 years. Source: SOX Officer Certification Penalties.
What are GDPR fine tiers under Article 83?
Tier 1: Up to €10,000,000 or 2% of global annual turnover (whichever is higher) — controller/processor obligation violations. Tier 2: Up to €20,000,000 or 4% of global annual turnover — core principle violations, consent conditions, data subject rights, international transfer rules. Source: GDPR Fine Tiers.
What are SEC civil penalty tiers for securities violations?
Tier 1: $10,907/violation (individuals), $10,907 (entities). Tier 2 (fraud/harm/prior): $109,074 (individuals), $218,148 (entities). Tier 3 (substantial harm): $218,148 (individuals), $1,090,739 (entities). Plus disgorgement of gains. Adjusted under 17 CFR 201.1001. Source: SEC/FINRA Civil Penalties.
Research Methodology
All ComplianceStack penalty data is sourced from primary regulatory documents: Code of Federal Regulations (CFR), United States Code (USC), HHS OCR enforcement records, OSHA citation databases, SEC EDGAR, FINRA enforcement actions, and FDA warning letter databases.
Penalty figures reflect current inflation-adjusted amounts per agency annual updates. We cross-reference OCR settlement announcements, OSHA press releases, and SEC litigation releases for enforcement case figures.
Verification cadence: Penalty tiers reviewed quarterly against agency publications. Enforcement case database updated continuously from agency RSS feeds and public PACER records. Regulatory requirements reviewed semiannually.
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