Page 125 - U.S. FOREIGN CORRUPT PRACTICES ACT

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

foreign officials may not be prosecuted under 18 U.S.C. Enrique Rincon-Fernandez, No. 15-cr-654 (S.D. Tex. June 15,
§ 371 for conspiring to violate the FCPA.”). Foreign officials, 2016), ECF No. 61, available at https://www.justice.gov/
however, can be charged with violating the FCPA when the criminal-fraud/file/878951/download; Plea Agreement, United
foreign official acts as an intermediary of a bribe payment. States v. Leo Winston Smith, No. 07-cr-69 (C.D. Cal. Sept. 3, 2009),
See, e.g., Information, United States v. Basu, No. 02-cr-475 ECF No. 89, available at https://www.justice.gov/sites/
(D.D.C. Nov. 26, 2002) (World Bank employee charged with default/files/criminal-fraud/legacy/2011/02/16/09-03-
wire fraud and FCPA violations for facilitating bribe payments 09smithl-plea-agree.pdf; Criminal Information, United
to another World Bank official and Kenyan government States v. Titan Corp., supra note 190.
official), available at http://www.justice.gov/criminal/fraud/
fcpa/cases/basu/11-26-02basu-info.pdf; Information, United 295 See JM § 9-27.000.
States v. Sengupta, No. 02-cr-40 (D.D.C. Jan. 30, 2002), available
at https://www.justice.gov/sites/default/files/criminal-fraud/ 296 See JM § 9-27.420 (setting forth considerations to be
legacy/2011/02/16/01-30-02sengupta-info.pdf. weighed when determining whether it would be appropriate
to enter into plea agreement).
288 See, e.g., Judgments, United States v. Esquenazi, supra
note 43, ECF Nos. 182, 816, 824 (judgments against foreign 297 See JM § 9-28.000 et seq.
official defendants).
298 See JM § 9-28.710 (discussing attorney-client and
289 Criminal Information, United States v. SSI Int’l, supra work product protections).
note 243 (alleging violations of 18 U.S.C. §§ 1343, 1346); Plea
Agreement, United States v. SSI Int’l, supra note 243, (Oct. 10, 299 FCPA Corporate Enforcement Policy, available at
2006), available at https://www.justice.gov/sites/default/files/ https://www.justice.gov/criminal-fraud/file/838416/
criminal-fraud/legacy/2011/02/16/10-10-06ssi-fareast-plea. download.
pdf.
300 Id.
290 See Ex-Im Bank, Form of Exporter’s Certificate, EIB
15-04 (May 2019), available at https://www.exim.gov/sites/ 301 See, e.g., DOJ Declination Letter, Cognizant
default/files/forms/eib15-04_0.pdf. Technology Solutions Corporation (Feb. 13, 2019), available
at https://www.justice.gov/criminal-fraud/file/1132666/
291 See 18 U.S.C. § 1001. download; DOJ Declination Letter, Insurance Corporation of
Barbados Limited (Aug. 23, 2018), available at https://www.
292 22 C.F.R. §§ 130.2, 130.9. justice.gov/criminal-fraud/page/file/1089626/download; DOJ
Declination Letter, Guralp Systems Limited (Aug. 20, 2018),
293 For example, in United States v. BAE Systems plc, BAE available at https://www.justice.gov/criminal-fraud/page/
pleaded guilty to conspiring to defraud the United States file/1088621/download.
by impairing and impeding its lawful functions, to making
false statements about its FCPA compliance program, and 302 See FCPA Corporate Enforcement Policy, supra note 299.
to violating the AECA and ITAR. BAE paid a $400 million fine
and agreed to an independent corporate monitor to ensure 303 Id.
compliance with applicable anti-corruption and export control
laws. Criminal Information and Plea Agreement, United States 304 Id.
v. BAE Sys. plc, No. 10-cr-35 (D.D.C. Mar. 1, 2010), ECF Nos.
1, 8, available at https://www.justice.gov/sites/default/files/ 305 See Plea Agreement, United States v. Alstom S.A., supra
criminal-fraud/legacy/2011/02/16/02-01-10baesystems-info. note 194; Criminal Information, United States v. Marubeni Corp.,
pdf and https://www.justice.gov/sites/default/files/criminal- Press Release, U.S. Dept. of Justice, Marubeni Corporation
fraud/legacy/2011/02/16/03-01-10baesystems-plea-agree. Agrees to Plead Guilty to Foreign Bribery Charges and to Pay
pdf. In an action based on the same underlying facts as the an $88 Million Fine, available at https://www.justice.gov/
criminal guilty plea, BAE entered a civil settlement with the opa/pr/marubeni-corporation-agrees-plead-guilty-
Directorate of Defense Trade Controls for violations of AECA foreign-bribery-charges-and-pay-88-million-fine.
and ITAR, including over 2500 ITAR violations that included
a failure to report the payment of fees or commissions 306 See, e.g., DOJ Declination Letter, Dun & Bradstreet
associated with defense transactions and failure to maintain Corp. (Apr. 23, 2018), available at https://www.justice.gov/
records involving ITAR-controlled transactions. BAE paid $79 criminal-fraud/file/1055401/download; Cease-and-Desist
million in penalties, and the State Department imposed a Order, In the Matter of The Dun & Bradstreet Corp., Admin.
“policy of denial” for export licenses on three BAE subsidiaries Proc. 3-18446 (Apr. 23, 2018), available at https://www.sec.
involved in the wrongful conduct. Press Release, BAE Systems gov/litigation/admin/2018/34-83088.pdf; DOJ Declination
plc Enters Civil Settlement of Alleged Violations of the AECA Letter, Nortek Inc. (June 3, 2016), available at https://www.
and ITAR and Agrees to Civil Penalty of $79 Million (May 17, justice.gov/criminal-fraud/file/865406/download; Nortek
2011), available at https://2009-2017.state.gov/r/pa/prs/ Inc., SEC Non-Prosecution Agreement (June 7, 2016), available
ps/2011/05/163530.htm. at https://www.sec.gov/news/press/2016/2016-109-npa-
nortek.pdf.
294 26 U.S.C. § 162(c)(1); see also, e.g., Criminal
Superseding Information, United States v. Julia Vivi Wang, 307 DOJ Declination Letters, available at https://www.
No. 16-cr-495 (S.D.N.Y. Apr. 4, 2018), ECF. No. 55, available justice.gov/criminal-fraud/corporate-enforcement-policy/
at https://www.justice.gov/criminal-fraud/file/1061041/ declinations.
download; Criminal Information, United States v. Roberto

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