Page 12 - U.S. FOREIGN CORRUPT PRACTICES ACT

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

The procedures for submitting a request for an to raise awareness of anti-corruption efforts and
opinion can be found at http://www.justice.gov/ good corporate governance programs.
criminal/fraud/fcpa/docs/frgncrpt.pdf and are The FCPA Unit maintains a “Spotlight
discussed further in Chapter 9. Individuals and on FCPA” section on SEC’s website at
companies wishing to disclose information about http://www.sec.gov/spotlight/fcpa.shtml. The

potential FCPA violations are encouraged to website, which is updated regularly, provides
contact the FCPA Unit at the telephone number or general information about the Act and links
email address below. to all SEC enforcement actions involving the
FCPA, including both federal court actions and
administrative proceedings, and contains other
DOJ Contact Information
useful information.
FCPA Unit Chief, Fraud Section, Individuals and companies with information
Criminal Division
Bond Building about possible FCPA violations by issuers may
1400 New York Ave, N.W. report them to the Enforcement Division via SEC’s
Washington, DC 20005 online Tips, Complaints and Referral system,
Telephone: (202) 514-2000 https://www.sec.gov/tcr. They may also submit
Facsimile: (202) 514-7021 information to SEC’s Office of the Whistleblower

Email: FCPA.Fraud@usdoj.gov through the same online system or by contacting
the Office of the Whistleblower at (202) 551-4790.
Additionally, investors with questions about the
Securities and Exchange Commission FCPA can call the Office of Investor Education and
SEC is responsible for civil enforcement of Advocacy at (800) SEC-0330. For more information
the FCPA over issuers and their officers, directors, about SEC’s Whistleblower Program, under which

employees, agents, or stockholders acting on the certain eligible whistleblowers may be entitled to
issuer’s behalf. SEC’s Division of Enforcement has a monetary award if their information leads to
responsibility for investigating and prosecuting certain SEC actions, see Chapter 8.
FCPA violations. In 2010, SEC’s Enforcement
Division created a specialized FCPA Unit, with

attorneys in Washington, D.C. and in regional SEC Contact Information
offices around the country, to focus specifically on
FCPA Unit Chief, Division of
FCPA enforcement. Enforcement, U.S. Securities
The Unit investigates potential FCPA and Exchange Commission
100 F Street, N.E.
violations; facilitates coordination with DOJ’s Washington, DC 20549
FCPA program and with other federal and Online Tips, Complaints, and Referrals

international law enforcement partners; uses website: https://www.sec.gov/tcr
its expert knowledge of the law to promote Office of Investor Education and
consistent enforcement of the FCPA; analyzes tips, Advocacy: (800) SEC-0330
complaints, and referrals regarding allegations
of foreign bribery; and conducts public outreach

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