INTRODUCTION

ABOUT THE AUTHORS

ABOUT THE CONTRIBUTORS

Chapter 1 - THE FCPA ANTI-BRIBERY PROVISION

• § 1.01 Introduction
• § 1.02 Who Is Subject to the Statute
• § 1.03 What Is Prohibited Under the Statute
• § 1.04 Liability for the Acts of Third Parties
• § 1.05 Successor Liability for Prior Acts of a Purchased Company
• § 1.06 Statutory Exception and Affirmative Defenses
• § 1.07 Statute of Limitations
• Exhibit 1A DOJ Opinion Procedure Releases
• Exhibit 1B DOJ Review Procedure Releases

Chapter 2 - THE FCPA BOOKS AND RECORDS AND INTERNAL CONTROLS PROVISIONS

• § 2.01 Overview
• § 2.02 Jurisdiction: Who Is Subject to the Statute?
• § 2.03 Elements

Chapter 3 - U.S. MONEY LAUNDERING LAWS AS ANTI-CORRUPTION STATUTES

• § 3.01 Introduction
• § 3.02 The Federal Money Laundering Statutes
• § 3.03 Transaction and Transportation Offenses Under Section 1956
• § 3.04 Prohibited Spending Transactions Under Section 1957
• § 3.05 Enforcement of Foreign Corruption Money Laundering
• § 3.06 Preventive Measures
• § 3.07 Statute of Limitations
• § 3.08 Penalties for Foreign Corruption Money Laundering

Chapter 4 - OTHER ANTI-CORRUPTION STATUTES

• § 4.01 Introduction
• § 4.02 Mail and Wire Fraud
• § 4.03 FCPA and the Travel Act
• § 4.04 Corruption and Economic Sanctions: Trading with the Enemy

Chapter 5 - SARBANES-OXLEY AND OTHER SECURITIES LAWS OR REGULATIONS RELEVANT TO ANTI-CORRUPTION ENFORCEMENT

• § 5.01 Foreign Corrupt Practices Act and Sarbanes-Oxley
• § 5.02 Accounting and Record Keeping Provisions of the FCPA and the Exchange Act
• § 5.03 Disclosure Controls and Internal Controls Over Financial Reporting
• § 5.04 Internal Controls Over Financial Reporting: Section 404 of Sarbanes-Oxley
• § 5.05 Management’s Report on Effectiveness
• § 5.06 FCPA-Related ICFR Disclosures
• § 5.07 Audit Report on ICFR
• § 5.08 Certification Overview: Section 302 of Sarbanes-Oxley
• § 5.09 Criminal Penalties: Section 906 of Sarbanes-Oxley
• § 5.10 Lawyers’ Obligation to Report: Section 307 of Sarbanes-Oxley
• § 5.11 Auditor’s Obligation to Report: Section 10A of the Exchange Act
• § 5.12 Conclusion

Chapter 6 - CORPORATE CRIMINAL LIABILITY

• § 6.01 Introduction: Entity Liability Under the FCPA
• § 6.02 The Current Standard for Corporate Criminal Liability
• § 6.03 Reforms: Alternatives to the Present Regime
• § 6.04 Conclusion

Chapter 7 - DOJ ENFORCEMENT OF THE FCPA

• § 7.01 Introduction
• § 7.02 Investigatory Tools Available to DOJ
• § 7.03 Penalties
• § 7.04 Trends in DOJ Enforcement
• § 7.05 Contacts with DOJ Initiated by Companies/Individuals
• § 7.06 DOJ’s Enforcement Framework as Outlined inthe Principles of Federal Prosecution of Business Organizations
• Exhibit 7A FCPA Cases by Year
• Exhibit 7B Morford Memorandum
• Exhibit 7C Holder Memorandum
• Exhibit 7D Thompson Memorandum
• Exhibit 7E McNulty Memorandum
• Exhibit 7F Filip Memorandum
• Exhibit 7G Holder Memorandum

Chapter 8 - SEC ENFORCEMENT OF THE FCPA

• § 8.01 SEC Investigations
• § 8.02 SEC Administrative Proceedings
• § 8.03 SEC Injunction Proceedings
• § 8.04 SEC Civil Remedies
• Exhibit 8A Exchange Act Release No. 44969 (Oct. 23, 2001)
• Exhibit 8B Statement of the Securities and Exchange Commission Concerning Financial Penalties (Jan. 4, 2006)
• Exhibit 8C Monetary Sanctions Paid by Corporations in Recent FCPA Cases
• Exhibit 8D Monetary Sanctions Paid by Individuals in Recent FCPA Cases

Chapter 9 - SUSPENSION, DEBARMENT, AND DISCLOSURE: SPECIAL ISSUES FACED BY U.S. GOVERNMENT CONTRACTORS

• § 9.01 Introduction
• § 9.02 Suspension and Debarment: What It Is and Why It Happens
• § 9.03 Mandatory Disclosure
• § 9.04 Voluntary Disclosure: The Department of Defense
• § 9.05 Department of State “Voluntary Disclosures”
• § 9.06 Proposed Legislation

Chapter 10 - COMPLIANCE AND PREVENTION

• § 10.01 Introduction
• § 10.02 Overview of Compliance and Ethics Programs
• § 10.03 Provisions of FCPA Compliance Programs
• § 10.04 Special Considerations for M&A and Joint Venture Activities

Chapter 11 - INTERNAL INVESTIGATIONS: FUNDAMENTALS AND KEY ISSUES

• § 11.01 Introduction
• § 11.02 When to Launch an Investigation
• § 11.03 Investigation First Steps
• § 11.04 Document Preservation and Collection
• § 11.05 Witness Interviews
• § 11.06 Protecting the Privilege
• § 11.07 Experts
• § 11.08 Coordination with Simultaneous Government Investigation
• § 11.09 Government Investigations and Insurance Coverage for the Company or Executives’ Legal Costs
• § 11.10 Evaluating the Need for Remedial and Compliance Measures
• § 11.11 Documenting the Investigation Results: Interview Memoranda
• § 11.12 Documenting the Investigation Results: Investigation Report
• Exhibit 11A Sample Document Preservation Notice
• Exhibit 11B Sample Checklist of Witness Documents and Data Collection Sources
• Exhibit 11C Sample Document Collection and Review Tracking Log
• Exhibit 11D Sample Joint Defense and Common Interest Agreement
• Exhibit 11E Sample Basic Interview Memorandum Shell

Chapter 12 - PRIVILEGE ISSUES IN ANTI-CORRUPTION INTERNAL AND GOVERNMENT INVESTIGATIONS

• § 12.01 Introduction
• § 12.02 Attorney-Client Privilege
• § 12.03 A Communication
• § 12.04 A Client
• § 12.05 A Lawyer
• § 12.06 Agents of the Client and of the Lawyer
• § 12.07 A Legal Purpose
• § 12.08 Confidentiality
• § 12.09 Exceptions to the Attorney-Client Privilege
• § 12.10 Duration of the Privilege
• § 12.11 Waiver of the Attorney-Client Privilege
• § 12.12 Extensions of the Attorney-Client Privilege
• § 12.13 The Work Product Doctrine
• § 12.14 The Scope of the Work Product Protection
• § 12.15 Waiver of the Work Product Protection
• § 12.16 Exceptions to Work Product Protection
• § 12.17 Common Interest Extensions of Work Product Protection
• § 12.18 Disclosure to the Government

Chapter 13 - GLOBAL ANTI-CORRUPTION EFFORTS: NATIONAL CASE STUDIES AND INTERNATIONAL REGIMES

• § 13.01 Introduction
• § 13.02 China
• § 13.03 Germany
• § 13.04 India
• § 13.05 Mexico
• § 13.06 Nigeria
• § 13.07 Russia
• § 13.08 Jurisdictional Overview
• § 13.09 International Conventions and Initiatives

TABLE OF CASES

INDEX