Page 112 - U.S. FOREIGN CORRUPT PRACTICES ACT

A Resource Guide to the U.S. Foreign Corrupt Practices Act. Second Edition.

41 Council of Europe, Criminal Law Convention on available at http://sec.gov/litigation/complaints/2010/comp-
Corruption, Jan. 27, 1999, 38 I.L.M. 505, available at http:// pr2010-51.pdf; Complaint, SEC v. Siemens Aktiengesellschaft,
conventions.coe.int/Treaty/en/Treaties/html/173.html. No. 08- cv-2167 (D.D.C. Dec. 12, 2008), ECF No. 1 [hereinafter
SEC v. Siemens AG] (German company), available at http://
42 For additional information about GRECO, see www.sec.gov/litigation/complaints/2008/comp20829.pdf.
Council of Europe, Group of States Against Corruption, available Certain DOJ enforcement actions have likewise involved
at http://www.coe.int/t/dghl/monitoring/greco/default_ foreign issuers. See, e.g., Criminal Information, United States
EN.asp. The United States has not yet ratified the GRECO v. Telefonaktiebolaget LM Ericsson, No. 19-cr-884 (S.D.N.Y.
convention. Dec. 6, 2019), ECF No. 3 [hereinafter United States v. Ericsson],
available at https://justice.gov/criminal-fraud/file/1226526/
43 The text of the FCPA statute is set forth in the download; Non-Pros. Agreement, In re Petróleo Brasileiro S.A.
appendix. See also Jury Instructions at 52-64, United States (Sept. 26, 2018), available at https://www.justice.gov/criminal-
v. Mark Lambert, No. 18-cr-012 (D. Md. Nov. 14, 2019), ECF fraud/file/1097256/download; Criminal Information, United
No. 152 [hereinafter United States v. Lambert] (FCPA jury States v. Teva LLC, No. 16-cr-20967 (S.D. Fla. Dec. 22, 2016),
instructions); Jury Instructions at 1259-66, United States v. ECF No. 1, available at https://www.justice.gov/criminal-
Lawrence Hoskins, No. 12-cr-238 (D. Conn. Nov. 6, 2019), fraud/file/920421/download; Criminal Information, United
ECF No. 601 [hereinafter United States v. Hoskins] (same); States v. Braskem S.A., No. 16-cr-709 (E.D.N.Y. Dec. 21, 2016),
Jury Instructions at 33-37, United States v. Joseph Baptiste, ECF No. 6, available at https://www.justice.gov/criminal-
No. 17-cr-10305 (D. Mass. June 19, 2019), ECF fraud/file/920086/download.
No. 195 [hereinafter United States v. Baptiste] (same);
Jury Instructions at 1081-89, United States v. Chi Ping 48 See http://www.sec.gov/divisions/corpfin/internatl/
Patrick Ho, No. 17-cr-779 (S.D.N.Y. Dec. 4, 2018), ECF companies.html.
No. 214 [hereinafter United States v. Ho] (same); Jury
Instructions at 4249-62, United States v. Ng Lap Seng, 49 See, e.g., Criminal Information, United States v.
No. 15-cr-706 (S.D.N.Y. July 26, 2017), ECF No. 609 Ericsson, supra note 47 (charging issuer company with
[hereinafter United States v. Ng] (same); Jury Instructions violating FCPA for paying bribes to foreign officials in Djibouti,
at 21-27, United States v. Esquenazi, No. 09-cr-21010 China, Vietnam, Indonesia, and Kuwait); Criminal Information,
(S.D. Fla. Aug. 5, 2011), ECF No. 520 [hereinafter United States v. Tim Leissner, No. 18-cr-439 (E.D.N.Y. Aug. 28,
United States v. Esquenazi] (same); Jury Instructions at 2018), ECF No. 16 (charging an employee and agent of U.S.
14-25, United States v. Kay, No. 01-cr-914 (S.D. Tex. Oct. publicly traded company with violating FCPA for bribery of
6, 2004), ECF No. 142 (same), aff’d, 513 F.3d 432, 446-52 official in Malaysia), available at https://www.justice.gov/
(5th Cir. 2007), reh’g denied, 513 F.3d 461 (5th Cir. 2008) criminal-fraud/file/1231346/download; United States v. Steven,
[hereinafter United States v. Kay]; Jury Instructions at supra note 9 (charging a UK employee of U.S. publicly traded
76-87, United States v. Jefferson, No. 07-cr-209 (E.D. Va. July company with violating FCPA for bribery of officials in Saudi
30, 2009), ECF No. 684 [hereinafter United States v. Jefferson] Arabia).
(same); Jury Instructions at 8-10, United States v. Green,
No. 08-cr-59 (C.D. Cal. Sept. 11, 2009), ECF No. 288 50 15 U.S.C. § 78dd-2.
[hereinafter United States v. Green] (same); Jury Instructions
at 23-29, United States v. Bourke, No. 05-cr-518 (S.D.N.Y. 51 15 U.S.C. § 78dd-2(h)(1).
July 2009) [hereinafter United States v. Bourke] (same, not
docketed); Jury Instructions at 2-8, United States v. Mead, 52 See, e.g., Indictment, United States v. Lambert, supra
No. 98-cr-240 (D.N.J. Oct. 1998) [hereinafter United States note 43, ECF No. 1 (employee of domestic concern charged
v. Mead] (same). with violating FCPA for bribes paid to a Russian government
official), available at https://www.justice.gov/criminal-fraud/
44 The provisions of the FCPA applying to issuers are file/1044676/download; Criminal Information, United States
part of the Securities Exchange Act of 1934 [hereinafter v. James Finley, No. 17-cr-160 (S.D. Ohio July 21, 2017),
Exchange Act]. The anti-bribery provisions can be found at ECF No. 3 (executive of foreign parent company charged as
Section 30A of the Exchange Act, 15 U.S.C. § 78dd-1. an agent of a domestic concern in directing bribes to Kazakh
official on behalf of U.S.-based subsidiary), available at https://
45 15 U.S.C. § 78l. www.justice.gov/criminal-fraud/file/1009596/download;
Superseding Indictment, United States v. Dmitrij Harder,
46 15 U.S.C. § 78o(d). No. 15-cr-001 (E.D. Pa. Dec. 15, 2015), ECF No. 62 [hereinafter
United States v. Harder] (owner of U.S. corporation charged
47 SEC enforcement actions have involved a number for bribes paid to an official at the European Bank for
of foreign issuers. See, e.g., Complaint, SEC v. Magyar Reconstruction and Development), available at https://www.
Telekom Plc., et al., No. 11-cv-9646 (S.D.N.Y. Dec. 29, 2011), justice.gov/criminal-fraud/file/843621/download.
ECF No. 1 (German and Hungarian companies), available at
http://www.sec.gov/litigation/complaints/2011/comp22213- 53 15 U.S.C. § 78dd-3(a). As discussed above,
co.pdf; Complaint, SEC v. Alcatel-Lucent, S.A., No. 10-cv- foreign companies that have securities registered in
24620 (S.D. Fla. Dec. 27, 2010), ECF No.1 [hereinafter SEC the United States or that are required to file periodic
v. Alcatel-Lucent] (French company), available at http:// reports with SEC, including certain foreign companies
www.sec.gov/litigation/complaints/2010/comp21795. with American Depository Receipts, are covered by the
pdf; Complaint, SEC v. ABB, Ltd., No. 10-cv-1648 (D.D.C. FCPA’s anti-bribery provisions governing “issuers” under
Sept. 29, 2010), ECF No. 1 [hereinafter SEC v. ABB] (Swiss 15 U.S.C. § 78dd-1.
company), available at http://www.sec.gov/litigation/
complaints/2010/comp-pr2010-175.pdf; Complaint, 54 See International Anti-Bribery and Fair Competition
SEC v. Daimler AG, No. 10-cv-473 (D.D.C. Apr. 1, 2010), Act of 1998, Pub. L. 105-366, 112 Stat. 3302 (1998); 15 U.S.C.
ECF No. 1 [hereinafter SEC v. Daimler AG] (German company), § 78dd-3(a); see also U.S. Dept. of Justice, Criminal Resource
104