Compilation of FCPA and International Anti‑Corruption References

Public Officials in International Business Transactions and the 2009 Revised Recommendation on Combating Bribery in International Business Transactions, Oct. 2010, at 61-62 (recommending that the United States “[clonsolidate and summarise publicly available information on the application of the FCPA in relevant sources”), available at hetp:/ / www. oecd.org/datacecd/ 10/49/46213841 pdf. 38 United Nations Convention Against Corruption, Oct. 31, 2003, S. Treaty Doc. No. 109-6, 2349 UN.TS. 41, available at http://www. unodc.org/ documents/treaties/ UNCAC/Publications/Convention/08- 50026_E.pdf [hereinafter UNCAC]. 39 For more information about the UNCAC review mechanism, see Mechanism for the Review of Implementation of the United Nations Convention Against Corruption, United Nations Office on Drugs and Crime, available at http i// www.unodc.org/ documents/treaties/ UNCAC/Publications/ReviewMechanism-BasicDocuments/ Mechanism_for_the_Review_of_Implementation_-_Basic_ Documents_-_E.pdf. “For information about the status of UNCAC, see United Nations Office on Drugs and Crime, UNCAC Signature and Ratification Status as of 12 July 2012, available at http ://www.unode.org/unodc/en/treaties/ CAC/ signatories.html. ah Organization of American States, Inter-American Convention Against Corruption, Mar, 29, 1996, 35 LL.M. 724, available at http://www.oas. org/ juridico/ english/ treaties/b-58.html. For additional information about the status of the IACAC, see Organization of American States, Signatories and Ratifications, available at http ://www.oas.org/ juridico/ english/Sigs/b-58.html. 2 Council of Europe, Criminal Law Convention on Corruption, Jan. 27, 1999, 38 LL.M. 505, available at http://conventions.coe.int/Treaty/en/ Treaties/html/173.htm. 8 For additional information about GRECO, see Council of Europe, Group of States Against Corruption, available at http ://www.coe.int/t/ dghl/ monitoring/greco/ default_EN.asp. The United States has not yet ratified the GRECO convention. “The text of the FCPA statute is set forth in the appendix. See also Jury Instructions at 21-27, United States v. Esquenazi, No. 09-cr-21010 (S.D. Fla. Aug. 5, 201 1), ECF No. 520 [hereinafter United States v. Esquenazi| (FCPA jury instructions); Jury Instructions at 14-25, United States v. Kay, No. O1-cr-914 (S.D. Tex. Oct. 6, 2004), ECF No. 142 (same), aff a, 513 R3d 432, 446-52 (5th Cir. 2007), reh’g denied, 513 F.3d 461 (5th Cir. 2008) [hereinafter United States v. Kay] ; Jury Instructions at 76-87, United States v. Jefferson, No. 07-cr-209 (E.D. Va. July 30, 2009), ECF No. 684 [hereinafter United States v. Jefferson] (same); Jury Instructions at 8-10, United States v. Green, No. 08-cr-59 (C.D. Cal. Sept. 11, 2009), ECF No. 288 [hereinafter United States v. Green| (same); Jury Instructions at 23-29, United States v. Bourke, No. 05-cr-518 (S.D.NY. July 2009) [hereinafter United States v. Bourke] (same, not docketed); Jury Instructions at 2-8, United States v. Mead, No. 98-cr-240 (D.N J. Oct. 1998) [hereinafter United States v. Mead] (same). 5 The provisions of the FCPA applying to issuers are part of the Securities Exchange Act of 1934 [hereinafter Exchange Act]. The anti-bribery provisions can be found at Section 30A of the Exchange Act, 15 US.C. § 78dd-1. #15 US.C. § 782 4715 US.C. § 780(d). 48SEC enforcement actions have involved a number of foreign issuers. See, €.¢., Complaint, SEC v. Magyar Telekom Ple., et al., No. 11-cv-9646 (S.D.N.Y. Dec. 29, 2011), ECF No. 1 (German and Hungarian companies), available at http: //wwwsec.gov/ litigation/ complaints/201 1/comp2221 3-co.pdf; Complaint, SEC v. Aleatel- Lucent, S.A., No. 10-cy-24620 (S.D. Fla. Dec. 27, 2010), ECF No. 1 [hereinafter SEC v. Alcatel-Lucent] (French company), available at http ://www.sec.gov/litigation/complaints/20 10/comp2 1795.pdé; Complaint, SEC v. ABB, Ltd., No. 10-cv-1648 (D.D.C. Sept. 29, 2010), ECF No. 1 [hereinafter SEC v. ABB] (Swiss company), available at http ://www.sec.gov/litigation/complaints/20 10/comp-pr2010-175. pdf; Complaint, SEC v. Daimler AG, No. 10-cv-473 (D.D.C. Apr. 1, 2010), ECF No. 1 [hereinafter SEC v. Daimler AG] (German company), available at http ://sec.gov/litigation/complaints/20 10/comp- pr20 10-5 l.pdf; Complaint, SEC v. Siemens Aktiengesellschaft, No. 08- cv-2167 (D.D.c. Dec. 12, 2008), ECF No. 1 [hereinafter SEC v. Siemens AG] (Germany company), available at http ://www.sec.gov/ litigation/ Endnotes complaints/2008/comp20829.pdf. Certain DOJ enforcement actions have likewise involved foreign issuers. See, 6g, Criminal Information, United States v. Magyar Telekom, Ple. No. 11-cr-597 (E.D. Va. Dec. 29, 2011), ECF No. 1, available at http://wwwjustice.gov/criminal/fraud/ fcpa/ cases/ magyar-telekom/ 2011-1 2-29-information-magyar-telekom. pdf; Non-Pros. Agreement, In re Deutsche Telekom AG (Dec. 29,201 1), available at http ://www.justice.gov/criminal/ fraud/ fcpa/ cases/deutsche- telekom/2011- 12-29-deustche-telekom-npa.pdf; Criminal Information, United States v. Alcatel-Lucent, S.A., No. 10-cr-20907 (S.D. Fla. Dec. 27, 2010), ECF No. 1 [hereinafter United States v. Alcatel-Lucent, S.A. |, available at http ://wwwjustice.gov/criminal/ fraud/ fcpa/ cases/alcatel- etal/12-27- 10alcatel-et-al-info.pdf; Criminal Information, United States v. Daimler AG, No. 10-cr-63 (D.D.C. Mar. 22, 2010), ECF No. 1 [hereinafter United States v. Daimler AG), available at http: / / www. justice.gov/ criminal/fraud/ fcpa/ cases/daimler/03-22-1 Odaimlerag-info. pd; ; Criminal Information, United States v. Siemens Aktiengesellschaft, No. 08-cr-367 (D.D.C. Dec. 12, 2008), ECF No. 1 [hereinafter United States v. Siemens AG], available at http ://www.justice.gov/ criminal/ fraud/fcpa/cases/siemens/ 12-1 2-08siemensakt-info.pdf. © See http ://www.sec.gov/divisions/corpfin/internatl/companies.shtml. ° See, 0.85 Complaint, SEC v. Turner, ef al, No. 10-cv-1309 (D.D.C. Aug. 4, 2010), ECF No. 1 [hereinafter, SEC v. Turner] (charging a Lebansese/Canadian agent ofa UK company listed on US. exchange with violating the FCPA for bribes of Iraqi officials), available at hetp:/ / www.sec.gov/litigation/complaints/20 10/comp2 161 5.pdf; Indictment, United States v. Naaman, No. 08-cr-246 (D.D.C. Aug. 7, 2008), ECF No. 3 [hereinafter United States v. Naaman] (same), available at http:// www.justice.gov/ criminal/fraud/ fcpa/ cases/naamano/08-07-08naaman- indict.pdf; Complaint, SEC y. Elkin, et al., No. 10-cv-661 (D.D.C. Apr. 28, 2010), ECF No. 1 [hereinafter SEC v. Elkin] (charging an employee of US. publicly traded company with violating FCPA for bribery of officials in Kyrgyzstan), available at http ://www.sec.gov/ litigation/ complaints/ 2010/comp21 509.pdf; Criminal Information, United States v. Elkin, No. 10-cr-15 (W.D. Va. Aug. 3, 2010), ECF No. 8 [hereinafter United States v. Elkin] (same), available at hetp:/ / www. justice.gov/: criminal/fraud/ fcpa/ cases/elkin/O8-03-10elkin-information. pdf; Indictment, United States v. Tesler, et a/., No. 09-cr-98 (S.D. Tex. Feb. 17, 2009), ECF No. 1 [hereinafter United States v. Tester] (charging a British agent of US. publicly traded company with violating the FCPA for bribery of Nigerian officials), available at http: //wwwjustice. gov/ criminal/fraud/ fepa/ cases/tesler/tesler-indict. pdf; ; Superseding Indictment, United States v. Sapsizian, et al. supra note 8, ECF 32 (charging a French employee of French company traded on a US. exchange with violating the FCPA). 5115 US.C. § 78dd-2. °15 US.C. § 78dd-2(h)(1). 15 US.C. § 78dd-2(a). See, CL Superseding Indictment, United States v. Nexus Technologies, et al., No. 08-cr-522 (E.D. Pa. Oct. 28, 2009), ECF No. 106 [hereinafter Uzited States v. Nexus Technologies] (private US. company and corporate executives charged with violating FCPA for bribes paid in Vietnam), available at http ://wwwjustice.gov/ criminal/ fraud/ fepa/ cases/nguyenn/ 09-04-O8nguyen-indict.pdf; Indictment, United States v. Esquenazi, supra note 44, (private US. company and corporate executives charged with FCPA violations for bribes paid in Haiti), available at http ://www.justice.gov/ criminal/fraud/ fcpa/ cases/ esquenazij/12-08-O9esquenazi-indict.pdf. #15 US.C. § 78dd-3(a). As discussed above, foreign companies that have securities registered in the United States or that are required to file periodic reports with the SEC, including certain foreign companies with American Depository Receipts, are covered by the FCPA’s anti-bribery provisions governing “issuers” under 15 U.S.C. § 78dd-1. 106 HOUSE_OVERSIGHT_022608