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Category Archives: FCPA

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There is No Escape from Whistleblowers Overseas

Posted in Dodd-Frank, FCPA, International Securities Regulation, Sarbanes-Oxley

Alas, the Dodd-Frank whistleblower protections cover informants overseas. The United States Court of Appeals for the Fifth Circuit, recently, held that the Dodd-Frank whistleblower protections cover informants that report to the SEC information about FCPA violations.  The court, citing that the plain language of the act, indicated that such individuals were covered.  This is an intriguing… Continue Reading

Is The FCPA’s Facilitating Payment Exception Dead?

Posted in FCPA, Federal and State Criminal Activities, SEC Enforcement

Incredibly over the last several years, both the DOJ and SEC have been relentless in their aggressive enforcement of the Foreign Corrupt Practices Act.  As part of this pursuit, the FCPA’s facilitation payment exception might not be as viable as it once was, thereby, defending these actions has gotten that much more complicated. Many are suggesting… Continue Reading

Defense Bar Strategies May Help Tackle SEC “No Admit” Policy in Parallel FCPA Cases

Posted in FCPA, Federal and State Criminal Activities, SEC Enforcement

Despite recent changes to the SEC’s no admit/no deny settlement policy, FCPA defense attorneys still have options.  As many know, the SEC will no longer allow settling defendants either to admit nor deny the SEC’s allegations when convicted on parallel criminal charges or where facts were admitted in a criminal proceeding.  In particular, defense attorneys could differentiate the SEC… Continue Reading

Acquiring Companies of Foreign Interests Risk FCPA Liability

Posted in FCPA, Federal and State Criminal Activities, International Securities Regulation, SEC Enforcement

Companies that acquire or invest in offshore entities or in entities that conduct business overseas may inherit FCPA risks. Clearly, the DOJ and the SEC are viewing these transactions and the resulting combinations with a jaundiced eye.  These regulators, most likely, will begin investigations, and, possibly, commence actions.  In fact, there have been recent FCPA actions… Continue Reading