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In determining whether to take action, the FTC will consider various factors, including, but not limited to whether:

  • The violation was the result of understandable or simple negligence;
  • The corrective filing was made promptly after the violation was discovered;
  • The parties have realized any benefit that they would not otherwise have realized; and/or
  • The parties have implemented adequate measures to prevent future violations.

Depending on the circumstances, the FTC may decide to pursue civil penalties for every day that the parties have been in violation. [1] If the FTC decides that it will not take action, it will issue a letter to the parties stating that although the parties have violated the HSR Act, it will not recommend an action seeking civil penalties. The decision not to take action should not be construed in any way to limit the agencies’ right to seek civil penalties or other relief with respect to the current or any future violation.

Endnotes

1. The penalty was established by Commission Rule 1.98, 16 C.F.R. § 1.98, and is adjusted pursuant to Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015. The maximum daily civil penalty amount is listed in 16 C.F.R. §1.98(a). Multiple filing obligations can result in multiple continuing daily penalties.

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