DOJ/FCPA Unit Overview and Enforcement Framework

Deputy Chief (FCPA Unit) Fraud Section, Criminal Division Bond Building 1400 New York Ave, N.W. Washington, DC 20005 Telephone: (202) 514-7023 Facsimile: (202) 514-7021 Email: [email protected] In 1998, the FCPA was amended to conform to the requirements of the Anti-Bribery Convention. These amendments expanded the FCPA’s scope to: (1) include payments made to secure “any improper advantage”; (2) reach certain foreign persons who commit an act in fur- therance of a foreign bribe while in the United States; (3) cover public international organizations in the definition of “foreign official”; (4) add an alternative basis for juris- diction based on nationality; and (5) apply criminal pen- alties to foreign nationals employed by or acting as agents of US. companies.”° The Anti-Bribery Convention came into force on February 15, 1999, with the United States as a founding party. National Landscape: Interagency Efforts DOJ and SEC share enforcement authority for the FCPA’ anti-bribery and accounting provisions.” They also work with many other federal agencies and law enforce- ment partners to investigate and prosecute FCPA viola- tions, reduce bribery demands through good governance programs and other measures, and promote a fair playing field for U.S. companies doing business abroad. Department of Justice DOJ has criminal FCPA enforcement authority over “issuers” (ie., public companies) and their officers, Introduction directors, employees, agents, or stockholders acting on the issuer’s behalf. DOJ also has both criminal and civil enforce- ment responsibility for the FCPA’s anti-bribery provisions over “domestic concerns’—which include (a) US. citizens, nationals, and residents and (b) U.S. businesses and their officers, directors, employees, agents, or stockholders act- ing on the domestic concern’s behalf—and certain foreign persons and businesses that act in furtherance of an FCPA violation while in the territory of the United States. Within DOJ, the Fraud Section of the Criminal Division has pri- mary responsibility for all FCPA matters.” FCPA matters are handled primarily by the FCPA Unit within the Fraud Section, regularly working jointly with US. Attorneys’ Offices around the country. DOJ maintains a website dedicated to the FCPA and its enforcement at http://www justice.gov/criminal/fraud/ fcpa/. The website provides translations of the FCPA in numerous languages, relevant legislative history, and selected documents from FCPA-related prosecutions and resolutions since 1977, including charging documents, plea agreements, deferred prosecution agreements, non-prosecution agree- ments, press releases, and other relevant pleadings and court decisions. The website also provides copies of opinions issued in response to requests by companies and individuals under DOJ’s FCPA opinion procedure. The procedures for submit- ting a request for an opinion can be found at http://www. justice.gov/criminal/fraud/fepa/docs/frgncrpt.pdf and are discussed further in Chapter 9. Individuals and companies wishing to disclose information about potential FCPA viola- tions are encouraged to contact the FCPA Unit at the tele- phone number or email address above. Securities and Exchange Commission SEC is responsible for civil enforcement of the FCPA over issuers and their officers, directors, employees, agents, HOUSE_OVERSIGHT_022506