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Confidential Reporting and Internal Investigation 61 Continuous Improvement: Periodic Testing and Review 61 Mergers and Acquisitions: Pre-Acquisition Due Diligence and Post-Acquisition Integration 62 Other Guidance on Compliance and International Best Practices 63 Chapter 6: FCPA PENALTIES, SANCTIONS, AND REMEDIES . . . . . . . . . . . . . . . 68 What Are the Potential Consequences for Violations of the FCPA? 68 Criminal Penalties 68 U S Sentencing Guidelines 68 Civil Penalties 69 Collateral Consequences 69 Debarment 70 Cross-Debarment by Multilateral Development Banks 70 Loss of Export Privileges 71 When Is a Compliance Monitor or Independent Consultant Appropriate? 71 Chapter 7: RESOLUTIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74 What Are the Different Types of Resolutions with DOJ? 74 Criminal Complaints, Informations, and Indictments 74 Plea Agreements 74 Deferred Prosecution Agreements 74 Non-Prosecution Agreements 75 Declinations 75 What Are the Different Types of Resolutions with SEC? 76 Civil Injunctive Actions and Remedies 76 Civil Administrative Actions and Remedies 76 Deferred Prosecution Agreements 76 Non-Prosecution Agreements 77 Termination Letters and Declinations 77 What Are Some Examples of Past Declinations by DOJ and SEC? 77 Chapter 8: WHISTLEBLOWER PROVISIONS AND PROTECTIONS . . . . . . . . . . . . . 82 Chapter 9: DOJ OPINION PROCEDURE . . . . . . . . . . . . . . . . . . . . . . . . . . 86 Chapter 10: CONCLUSION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90 APPENDIX: THE FOREIGN CORRUPT PRACTICES ACT . . . . . . . . . . . . . . . . . . 92 APPENDIX: ENDNOTES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .104
Corporate bribery is bad business. In our free market system it is basic that the sale of products should take place on the basis of price, quality, and service. Corporate bribery is fundamentally destructive of this basic tenet. Corporate bribery of foreign officials takes place primarily to assist corporations in gaining business. Thus foreign corporate bribery affects the very stability of overseas business. Foreign corporate bribes also affect our domestic competitive climate when domestic firms engage in such practices as a substitute for healthy com- petition for foreign business. 1 —United States Senate, 1977
Page 1 and 2: chapter 1 Introduction FCPA A Resou
Page 3 and 4: A RESOURCE GUIDE TO THE U.S. FOREIG
Page 6 and 7: CONTENTS Chapter 1: INTRODUCTION .
Page 11 and 12: INTRODUCTION Congress enacted the U
Page 13 and 14: DOJ Contact Information Deputy Chie
Page 15 and 16: important ways. Both agencies encou
Page 17: Phase 3 review of the United States
Page 20 and 21: 11 How Can I Tell If My Company Is
Page 22 and 23: 13 Examples of Actions Taken to Obt
Page 24 and 25: 15 expensive gifts. Like the domest
Page 26 and 27: 17 For example, a pharmaceutical co
Page 28 and 29: 19 also were not in compliance with
Page 30 and 31: 21 Mexican national oil company. 12
Page 32 and 33: 23 • the third party became part
Page 34 and 35: 25 What Are Facilitating or Expedit
Page 36 and 37: 27 Does the FCPA Apply to Cases of
Page 38 and 39: 29 Practical Tips to Reduce FCPA Ri
Page 40 and 41: 31 Hypothetical: Successor Liabilit
Page 42 and 43: 33 have stopped and quickly integra
Page 44 and 45: 35 under 18 U.S.C. § 371. For cons
Page 47 and 48: THE FCPA: ACCOUNTING PROVISIONS In
Page 49 and 50: Internal Controls Provision The pay
Page 51 and 52: What Are Management’s Other Oblig
Page 53 and 54: the Exchange Act (15 U.S.C. § 78m(
Page 55: chapter 3 The FCPA: Accounting Prov
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49 violations, 280 three former Hai
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GUIDING PRINCIPLES OF ENFORCEMENT W
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consider whether the case involves
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• the appropriateness of a cooper
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has taken steps to make certain tha
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forms such as personnel evaluations
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industry. In addition, compliance p
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chapter 5 Guiding Principles of Enf
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chapter 5 Guiding Principles of Enf
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69 to determine whether the Guideli
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71 Reconstruction and Development,
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RESOLUTIONS What Are the Different
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What Are the Different Types of Res
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• The company discovered that its
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chapter 7 Resolutions 80
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83 On August 12, 2011, the final ru
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DOJ OPINION PROCEDURE DOJ’s opini
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chapter 9 DOJ Opinion Procedure 88
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THE FOREIGN CORRUPT PRACTICES ACT:
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present enforcement policy with res
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ordered, or to give testimony touch
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(2) As used in this subsection, a
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(B) The term “routine governmenta
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[Section 30A of the Exchange Act]of
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105 that firms that pay more bribes
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107 55 See International Anti-Bribe
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109 enjoining it from future violat
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111 opinion/2004/0401.pdf; U.S. Dep
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113 Fla. Dec. 14, 2010), ECF No. 3,
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115 order to make clear that, consi
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117 to them. . . . Corporate office
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119 circumstances were present: (1)
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FCPA Unit Fraud Section, Criminal D
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