An Analysis Of Enforcement Actions Settled By The Us Securities And Exchange Commission And The Us Department Of Justice For Violations Of The Foreign Corrupt Practices Act
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Author | : Helen M. Roybark |
Publisher | : |
Total Pages | : 55 |
Release | : 2015 |
Genre | : |
ISBN | : |
Efficient capital markets and public confidence require honest actors. This is even more important in today's global marketplace. Unfair business practices such as bribery of foreign officials and maintaining and reporting of inaccurate books and records create an unlevel playing field for honest businesses, reduce market efficiency, undermine public confidence, and leads to increased regulation. Congress enacted the Foreign Corrupt Practices Act (FCPA) in 1977 in response to such unfair practices. The purpose of this study adds to the literature on unfair business practices by analyzing 98 FCPA enforcement actions settled by the U.S. Securities and Exchange Commission (SEC) and parallel enforcement actions settled by the U.S. Department of Justice (DOJ) during 2006-2013. Total judgments settled by the SEC and the DOJ during 2006-2013 were $1.882 billion and $2.475 billion, respectively.
Author | : United States. Securities and Exchange Commission |
Publisher | : |
Total Pages | : 504 |
Release | : 1971-07 |
Genre | : Securities |
ISBN | : |
Lists documents available from Public Reference Section, Securities and Exchange Commission.
Author | : United States. Department of Justice |
Publisher | : |
Total Pages | : |
Release | : 1988 |
Genre | : Justice, Administration of |
ISBN | : |
Author | : Judith Seddon |
Publisher | : Law Business Research Ltd. |
Total Pages | : 987 |
Release | : 2018-01-19 |
Genre | : |
ISBN | : 1912377837 |
There's never been a greater likelihood a company and its key people will become embroiled in a cross-border investigation. But emerging unscarred is a challenge. Local laws and procedures on corporate offences differ extensively - and can be contradictory. To extricate oneself with minimal cost requires a nuanced ability to blend understanding of the local law with the wider dimension and, in particular, to understand where the different countries showing an interest will differ in approach, expectations or conclusions. Against this backdrop, GIR has published the second edition of The Practitioner's Guide to Global Investigation. The book is divided into two parts with chapters written exclusively by leading names in the field. Using US and UK practice and procedure, Part I tracks the development of a serious allegation (whether originating inside or outside a company) - looking at the key risks that arise and the challenges it poses, along with the opportunities for its resolution. It offers expert insight into fact-gathering (including document preservation and collection, witness interviews); structuring the investigation (the complexities of cross-border privilege issues); and strategising effectively to resolve cross-border probes and manage corporate reputation.Part II features detailed comparable surveys of the relevant law and practice in jurisdictions that build on many of the vital issues pinpointed in Part I.
Author | : T. Markus Funk |
Publisher | : Oxford University Press |
Total Pages | : 304 |
Release | : 2019-04-05 |
Genre | : Law |
ISBN | : 0190232404 |
Worldwide, governmental anti-corruption efforts have been ramping up like never before. From the U.S. Foreign Corrupt Practices Act ("FCPA") to the U.K. Bribery Act and recent Chinese, French, Indonesian, Brazilian, and German anti-bribery legislations, the compliance world has witnessed the fight against corruption rocketing to the top of most law reform and enforcement agendas. As the fight against corruption goes global, practitioners of the compliance, regulatory, and investigative space must understandand--and more importantly navigate--these increasingly complicated and often perilous compliance waters. With that heavy reality in mind, this first-of-its-kind book draws on the real-world experience and expertise possessed by some of the world's leading anti-corruption and anti-bribery practitioners to make meeting that challenge easier. Featuring country-specific chapters and practitioner-focused "how to" modules, From Baksheesh to Bribery serves as a one-stop shop for practitioners, in-house counsel, compliance personnel, academics, and others who want--and often need--to understand the world's perspective on corruption and the fight against it.
Author | : Mike Koehler |
Publisher | : Edward Elgar Publishing |
Total Pages | : 417 |
Release | : 2014-04-25 |
Genre | : Business & Economics |
ISBN | : 1781954410 |
Written by a former FCPA attorney with expert knowledge and experience relevant to the issues discussed, the book injects innovative concepts to the study of the FCPA and its enforcement such as the Šworld�s most ethical FCPA violators,� Šthe faˆade of
Author | : Paul Cohen |
Publisher | : |
Total Pages | : 454 |
Release | : 2010 |
Genre | : Corruption |
ISBN | : 9780414041721 |
Looks at anti-corruption laws & treaties in a number of key jurisdictions worldwide.
Author | : Department of Justice (DOJ) |
Publisher | : |
Total Pages | : 151 |
Release | : 2017-05-29 |
Genre | : |
ISBN | : 9781521398036 |
This guide is intended to provide information for businesses and individuals regarding the U.S. Foreign Corrupt Practices Act (FCPA). The guide has been prepared by the staff of the Criminal Division of the U.S. Department of Justice and the Enforcement Division of the U.S. Securities and Exchange Commission. It is non-binding, informal, and summary in nature, and the information contained herein does not constitute rules or regulations. The Foreign Corrupt Practices Act (FCPA) is a critically important statute for combating corruption around the globe. Corruption has corrosive effects on democratic institutions, undermining public accountability and diverting public resources from important priorities such as health, education, and infrastructure. When business is won or lost based on how much a company is willing to pay in bribes rather than on the quality of its products and services, law-abiding companies are placed at a competitive disadvantage-and consumers lose. For these and other reasons, enforcing the FCPA is a continuing priority at the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC). The Guide is the product of extensive efforts by experts at DOJ and SEC, and has benefited from valuable input from the Departments of Commerce and State. It endeavors to provide helpful information to enterprises of all shapes and sizes- from small businesses doing their first transactions abroad to multi-national corporations with subsidiaries around the world. The Guide addresses a wide variety of topics, including who and what is covered by the FCPA's anti-bribery and accounting provisions; the definition of a "foreign official"; what constitute proper and improper gifts, travel and entertainment expenses; the nature of facilitating payments; how successor liability applies in the mergers and acquisitions context; the hallmarks of an effective corporate compliance program; and the different types of civil and criminal resolutions available in the FCPA context. On these and other topics, the Guide takes a multi-faceted approach, setting forth in detail the statutory requirements while also providing insight into DOJ and SEC enforcement practices through hypotheticals, examples of enforcement actions and anonymized declinations, and summaries of applicable case law and DOJ opinion releases. The Guide is an unprecedented undertaking by DoJ and SEC to provide the public with detailed information about our FCPA enforcement approach and priorities.
Author | : Mike Koehler |
Publisher | : Edward Elgar Publishing |
Total Pages | : 304 |
Release | : 2018-11-30 |
Genre | : Business & Economics |
ISBN | : 1788114930 |
In the minds of some, complying with the U.S. Foreign Corrupt Practices Act and related laws is easy: 'you just don't bribe.' The reality, as sophisticated professionals should know, is not so simple. This book is for professionals across various disciplines who can assist in risk management and want to learn strategies for minimizing risk under aggressively enforced bribery laws. Written by a leading expert with real-world practice experience, this book elevates knowledge and skills through a comprehensive analysis of all legal authority and other relevant sources of information. It also guides readers through various components of compliance best practices from the fundamentals of conducting a risk assessment, to effectively communicating compliance expectations, to implementing and overseeing compliance strategies. With a focus on active learning, this book allows readers to assess their acquired knowledge through various issue-spotting scenarios and skills exercises and thereby gain confidence in their specific job functions. Anyone seeking an informed and comprehensive understanding of the modern era of enforcement of bribery laws and related risk management strategies will find this book to be a valuable resource including in-house compliance personnel, FCPA and related practitioners, board of director members and executive officers.
Author | : United States. Securities and Exchange Commission. Division of Enforcement |
Publisher | : |
Total Pages | : 144 |
Release | : 2008 |
Genre | : Corporation law |
ISBN | : |