Page 128 - U.S. FOREIGN CORRUPT PRACTICES ACT

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

339 See, e.g., ICC Rules on Combating Corruption, supra 358 15 U.S.C. §§ 78dd-2(g)(1)(A), 78dd-3(e)(1)(A),
note 326, at 7. 78ff(c)(1)(A).
340 See, e.g., U.S. Sentencing Guidelines § 8B2.1(b)(5)(C) 359 15 U.S.C. §§ 78dd-2(g)(2)(A), 78dd-3(e)(2)(A),
(2018); Compliance 101, supra note 318, at 30-33. 78ff(c)(2)(A); 18 U.S.C. § 3571(b)(3), (e) (fine provision that
supersedes FCPA-specific fine provisions).
341 See U.S. Sentencing Guidelines § 8B2.1(b)(5)(B)
(2018) (“The organization shall take reasonable steps . . . to 360 15 U.S.C. § 78ff(a).
evaluate periodically the effectiveness of the organization’s
compliance and ethics program.”). 361 Id.

342 See, e.g., Compliance 101, supra note 318, at 60- 362 18 U.S.C. § 3571(d); see Southern Union v. United
61; The Ethics and Compliance Handbook, supra note 334, States, 132 S. Ct. 2344, 2350-51 & n.4 (2012).
at 155-60; Business Principles for Countering Bribery, supra
note 326, at 14. 363 15 U.S.C. §§ 78dd-2(g)(3), 78dd-3(e)(3), 78ff(c)(3).

343 See, e.g., Michael M. Mannix and David S. Black., 364 The U.S. Sentencing Guidelines are promulgated by
Compliance Issues in M&A: Performing Diligence on the Target’s the U.S. Sentencing Commission:
Ethics and Compliance Program at 5.71-5.81, in Society of
Corporate Compliance and Ethics, The Complete Compliance The United States Sentencing Commission
and Ethics Manual (2011). (“Commission”) is an independent agency in
the judicial branch composed of seven voting
344 Complaint, SEC v. Syncor International Corp., No. 02- and two non-voting ex-officio members. Its
cv-2421 (D.D.C. Dec. 10, 2002), ECF No. 1, available at http:// principal purpose is to establish sentencing
www.sec.gov/litigation/complaints/comp17887.htm; policies and practices for the federal criminal
Criminal Information, United States v. Syncor Taiwan, Inc., No. justice system that will assure the ends of
02-cr-1244 (C.D. Cal. Dec. 5, 2002), ECF No. 1, available at justice by promulgating detailed guidelines
https://www.justice.gov/criminal-fraud/case/united-states-v- prescribing the appropriate sentences for
syncor-taiwan-inc-court-docket-number-02-cr-1244-svw. offenders convicted of federal crimes. The
guidelines and policy statements promulgated
345 U.S. Dept. of Justice, FCPA Op. Release 08-02 (June by the Commission are issued pursuant to
13, 2008), available at http://justice.gov/criminal/fraud/fcpa/ Section 994(a) of Title 28, United States Code.
opinion/2008/0802.pdf.
U.S. Sentencing Guidelines § 1A1.1 (2018).
346 Complaint, SEC v. Rae Sys., Inc., supra note 92; Non-
Pros. Agreement, In re Rae Sys. Inc., supra note 92. 365 Id. at ch. 3-5.

347 See Evaluation of Corporate Compliance Programs, 366 Id. § 2C1.1.
supra note 319.
367 Id. § 2C1.1(b).
348 U.S. Dept. of Commerce, Business Ethics: A
Manual for Managing a Responsible Business Enterprise 368 Id. § 3B1.1.
in Emerging Market Economies (2004), available at https://
legacy.trade.gov/goodgovernance/adobe/bem_manual.pdf. 369 Id. at ch. 4, § 5A.
349 U.S. Dept. of State, Fighting Global Corruption: 370 Id. § 2B1.1(b)(10)(B), 2B1.1(b)(18)(A).
Business Risk Management (2d ed. 2001), available at
http://wgfacml.asa.gov.eg/en/anticorrupcion/USA/EU%20 371 Id. § 8C2.4 (a).
fighting%20against%20corruption.usa%202001-2003.pdf.
372 Id. § 8C2.5.
350 See Harmonising Anti-Corruption Compliance, supra
note 318, at 46 (“Anti-corruption compliance is becoming 373 Id. § 8C2.5(f), 8C2.5(g).
more and more harmonised worldwide.”).
374 DOJ has exercised this civil authority in limited
351 OECD Good Practice Guidance, supra note 326. circumstances in the last thirty years. See, e.g., United States
& SEC v. KPMG Siddharta Siddharta & Harsono, et al., No.
352 APEC Anti-corruption Code, supra note 326. 01-cv-3105 (S.D. Tex. 2001) (entry of injunction barring
company from future FCPA violations based on allegations
353 ICC Rules on Combating Corruption, supra note 326. that company paid bribes to Indonesian tax official in order
to reduce the company’s tax assessment); United States v.
354 Business Principles for Countering Bribery, supra Metcalf & Eddy, Inc., No. 99-cv-12566 (D. Mass. 1999) (entry
note 326. of injunction barring company from future FCPA violations
and requiring maintenance of compliance program based on
355 The Ten Principles, supra note 326. allegations that it paid excessive marketing and promotional
expenses such as airfare, travel expenses, and per diem to
356 Integrity Compliance Guidelines, supra note 326. an Egyptian official and his family); United States v. American
Totalisator Co. Inc., No. 93-cv-161 (D. Md. 1993) (entry of
357 Partnering Against Corruption, supra note 326. injunction barring company from future FCPA violations
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