Hopefully, one area that many compliance practitioners
will not have much experience in is dealing with prosecutors, at least in the
in-house, corporate context. Further it may be the case that most in-house
lawyers come from a civil law background, as opposed to the criminal law side
of the legal profession. Therefore, if an in-house compliance practitioner is
required to disclose to, and work with, a federal prosecutor, the in-house
practitioner usually does not have experience to draw upon in connection with
the types of inquiries a Department of Justice (DOJ) prosecutor might ask
during a Foreign Corrupt Practices Act (FCPA) investigation.
Over the past 9 months, and continuing for the next
several months, I have been privileged to tour the US with World Check
discussing various aspects of the FCPA. Another member of the team is Stephen Martin, the
General Counsel of Corpedia. Stephen
worked as a prosecutor in the DOJ during the Clinton administration before
moving into the corporate world and has a wealth of knowledge on the types of
inquiries that a prosecutor might ask during the pendency of a FCPA
investigation. In his presentation Stephen suggests that, during a FCPA
inquiry, your company might be asked some of the following questions:
This list is not exhaustive and there will be many, many
more queries, both large and small from any prosecutor. However, this sample
makes clear that your ability to respond, and respond with documentation, will
be critical in establishing your company's credibility in the compliance area.
Stephen and I will be continuing our FCPA presentations,
hosted by World Check this spring. All of the events are free and CLE is
provided. Our upcoming schedule is as follows and if you are in one of these
areas I hope you can join us.
Tuesday, April 5-Portland. For details, click here.
Wednesday, April 6, Seattle. For details, click here.
Thursday, April 7, Denver. For details, click here.
Visit the FCPA Compliance
and Ethics Blog, hosted by
Thomas Fox, for more commentary on FCPA compliance, indemnities and other forms
of risk management for a worldwide energy practice, tax issues faced by
multi-national US companies, insurance coverage issues and protection of trade
This publication contains general information
only and is based on the experiences and research of the author. The author is
not, by means of this publication, rendering business, legal advice, or other
professional advice or services. This publication is not a substitute for such
legal advice or services, nor should it be used as a basis for any decision or
action that may affect your business. Before making any decision or taking any
action that may affect your business, you should consult a qualified legal
advisor. The author, his affiliates, and related entities shall not be
responsible for any loss sustained by any person or entity that relies on this
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Thomas R. Fox, 2011
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