境外腐敗行為法-foreigncorruptpracticesact

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1、ForeignCorruptPracticesAct:AGuidetoU.S.Anti-BriberyLawRogerJ.Magnuson11GuidetoU.S.Anti-BriberyLawForeignCorruptPracticesActThreeComponentstothisPresentation:•OverviewoftheLaw•SummaryofEffectiveStrategiesforManagingRisksofFCPA-RelatedLiabilities•DiscussionofWhatDorseyOfferstoClientsinFCPA-Related

2、Matters2WhatistheForeignCorruptPracticesAct•TheShortDefinition:AU.S.lawthatprohibitscompaniesengagedinbusinessinforeignjurisdictionsfrompaymentstogovernmentalrepresentatives.•TwoComponentsoftheFCPA:–TheProhibitionsonImproperPayments–TheAccountingRegulations3WhyCongressPassedtheForeignCorruptPrac

3、ticesActWhoSaidThis?:“IamNOTaCrook.”TheFCPAwasenactedbyCongressinthewakeoftheWatergatescandal.CongresspassedtheFCPAinresponsetoaSecurities&ExchangeCommissionstudy.Thestudyrevealedthatover400U.S.companiesadmittedmakingquestionableorillegalpayments(inexcessof$300M)toforeigngovernmentofficials,poli

4、ticiansandpoliticalparties.Thementalityduringthaterawas:“WheninRome,doastheRomans.”Briberyisanacceptedbusinesspracticeinsomeforeignjurisdictions.So,itisfineforU.S.companiestoadapttothatbusinessculture.Currentregulatoryregimesdidnotapplyorfacedjurisdictionallimitations—mostconductoutsideofU.S.bor

5、dersisnotwithinjurisdictionofU.S.courts.4TheBasicsoftheBriberyProhibition•FourQuestionsinAssessingLiabilitiesundertheFCPA:–WHOispotentiallyliable?–WasanIMPROPERPAYMENTmade?–WhowastheRECIPIENTofthepayment?–DidtheviolatorhaveCORRUPTINTENT?5TheBasicsoftheBriberyProhibitionQuestionNumber1:WHOispoten

6、tiallyliable?Anissuer,domesticconcern,oraforeignnationalorbusiness.–Issuer:AcorporationthathasissuedsecuritiesthathavebeenregisteredintheUnitedStatesorwhoisrequiredtofileperiodicreportswiththeSEC.–DomesticConcern:Anyindividualwhoisacitizen,national,orresidentoftheUnitedStates,oranycorporation,pa

7、rtnership,association,joint-stockcompany,businesstrust,unincorporatedorganization,orsoleproprietorshipwhichhasitsprincipalplaceofbusinessintheUnitedStates,orwhichisorganizedunderthelawsofaStateoftheUnitedStates,oraterritory,